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Humberto Santos

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/16/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052478902 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Planner Securities LLC, Respondent Member Firm BD No. 36866 Humberto Santos, Respondent General Securities Principal CRD No. 2855514 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondents Planner Securities LLC and Humberto Santos submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2017052478902data-portal.finra.orgfinra.org

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