Robert Jonathan Spencer
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/14/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068414601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Jonathan Spencer (Respondent) Former General Securities Representative CRD No. 431878 Pursuant to FINRA Rule 9216, Respondent Robert Jonathan Spencer submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted
Reference 2020068414601data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 431878 |
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