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FINRA Disciplinary Actions Online

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Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2019063613303 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063613303 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Marisa Kathleen Quintero, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 6346508 Pursuant to FINRA Rule 9216, Respondent Marisa Kathleen Quintero submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. AWCs (Letters of Acceptance, Waiver, and Consent)
Marisa Kathleen Quintero