RICHARD STANISLAUS ROUTIE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/12/2025: Routie refused to appear for on-the~record testimony as requested pursuant to FINRA Rule 8210 in connection with a FINRA investigation into whether he bonowed money from customers. As a result, Routie violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.
Reference 2023079368801data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4379905

Other names1

Also known as1

Richard Routie

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