Robert Renteria

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/13/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065896801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Robert Renteria, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 5773053 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Robert Renteria (“Respondent”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2020065896801finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/04/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063663401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Rober Renteria, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 5773053 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Robert Renteria ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019063663401data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5773053

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