Raymond Alagao Velasco, Sr. | FINRA Disciplinary Action

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062922001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Raymond Alagao Velasco, Sr. (Respondent) Former General Securities Representative CRD No. 4867519 Pursuant to FINRA Rule 9216, Respondent Raymond Alagao Velasco, Sr. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINRA CASE ID 2019062922001

related Posts