Antonio Gutierrez Puente
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/29/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059909701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Antonio Gutierrez Puente, Respondent Investment Company and Variable Contracts Products Representative CRD No. 2695224 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent, Antonio Gutierrez Puente, 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 on
Reference 2018059909701finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2695224 |
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