Rani Soto
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/28/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Rani Soto CRD No. 6016117, Respondent. Disciplinary Proceeding No. 201859766792 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 2017 through September 2018, Rani Soto failed to disclosure five outside business activities (OBAs) to his member firm, Prudential Investment Management Services LLC (Prudential), prior to engaging in the OBAs. 2. By failing to disclose these OBAs to his firm
11/13/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Rani Soto CRD No. 6016117, Respondent. Disciplinary Proceeding No. 2018059766702 Hearing Officer: RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 13, 2020 INTRODUCTION Disciplinary Proceeding No. 2018059766702 was filed on August 28, 2020, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Rani Soto submitted an Offer of Settlement (Offer) to Complainant dated November 8, 2020.
Reference 2018059766702data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6016117 |
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