Marco Antonio Rivera
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/08/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Marco Antonio Rivera CRD No. 7003078, Respondent. Disciplinary Proceeding No. 2020068740302 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Marco Antonio Rivera failed to provide a complete response to FINRA’s requests for information and documents made pursuant to FINRA Rule 8210 in February 2021. As a result, Rivera violated FINRA Rules 8210 and 2010. RESPONDENT AND JURISDICTION
04/14/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MARCO ANTONIO RIVERA (CRD No. 7003078), Respondent. Disciplinary Proceeding No. 2020068740302 Hearing Officer-BEK DEFAULT DECISION April 14, 2022 Respondent is barred from associating with any FINRA member in any capacity for failing to provide information and documents to FINRA staff.
Reference 2020068740302data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 7003078 |
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