2023080627902 Richard Mireles CRD 5288651 AWC geg (2024-1728865198666).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023080627902
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Richard Mireles (Respondent)
General Securities Principal
CRD No. 5288651
Pursuant to FINRA Rule 9216, Respondent Richard Mireles submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.