FORTINO R RIVERA

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/29/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059735201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Fortino R. Rivera, Respondent General Securities Representative CRD No. 6358600 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Fortino R. Rivera ("Rivera" or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement
Reference 2018059735201data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	6358600

Other names1

Also known as1

Fortino R. Rivera

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