21-02658(2).pdf
motion to vacate
20-01175(3).pdf
order to confirm
2021072406801 Efrain Trujillo CRD 3106482 AWC gg (2022-1668385196830).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021072406801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Efrain B. Trujillo (Respondent)
Former General Securities Representative
CRD No. 3106482
Pursuant to FINRA Rule 9216, Respondent Trujillo submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2018056490305 Terry Tzagarakis CRD 2796055 AWC gg (2022-1668385198414).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2018056490305
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Terry Tzagarakis (Respondent)
Former General Securities Representative
CRD No. 2796055
Pursuant to FINRA Rule 9216, Respondent Terry Tzagarakis submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.