SANTIAGO J TORRES, JR
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/31/2025: The Department of Enforcement alleges: Respondent Santiago J. Torres, Jr. failed to provide information and documents, and appear for on-the-record testimony, that FINRA requested pursuant to FINRA Rule 8210 as part of an investigation into whether he misappropriated funds and falsified customer documents. By failing to provide the requested information, documents, and testimony, Torres violated FINRA Rules 8210 and 2010.
06/12/2025: DEPARTMENT OF ENFORCEMENT, Complainant, v. SANTIAGO J. TORRES (CRD No. 5644622), Respondent. Disciplinary Proceeding No. 2024083132901 Hearing Officer–MPD DEFAULT DECISION June 12, 2025 Respondent is barred from associating with any FINRA member firm in any capacity for failing to provide information and documents and failing to appear for on-the-record testimony, as requested in connection with a FINRA investigation, in violation of FINRA Rules 8210 and 2010.
Reference 2024083132901data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5644622 |
Other names1
Also known as1
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