Robert Juan Escobio

06/13/2023: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 97701 / June 12, 2023 Admin. Proc. File No. 3-20260 In the Matter of the Application of ROBERT JUAN ESCOBIO For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION-REVIEW OF DISCIPLINARY PROCEEDING FINRA found that person formerly associated with member firm failed to respond to its requests for information and documents for testimony at on-the-record interviews.

02/05/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ROBERT JUAN ESCOBIO (CRD No. 703813), Respondent. Disciplinary Proceeding No. 2018059545201 Hearing Officer-DDM HEARING PANEL DECISION GRANTING MOTION FOR SUMMARY DISPOSITION February 5, 2020 Robert Juan Escobio failed to comply with multiple Rule 8210 requests for documents and information and on-the-record testimony. For this misconduct,

03/10/2021: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Robert Juan Escobio, Coral Gables, FL, Respondent. DECISION Complaint No. 2018059545201 Dated: March 10, 2021 Respondent failed to respond to FINRA information requests and failed to appear and provide testimony. Held, findings and sanctions affirmed. Appearances For the Complainant: Megan P. Davis, Esq., Janine D. Arno, Esq., Department of Enforcement, Financial Industry

07/17/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Robert Juan Escobio (CRD No. 703813), Respondent. DISCIPLINARY PROCEEDING NO. 2018059545201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From March 2019 to the present, Respondent Robert Juan Escobio has repeatedly failed to provide information and documents requested by FINRA Staff pursuant to FINRA Rule 9210 in an investigation involving whether Escobio

Reference 2018059545201data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org