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Jaime I. Sanchez Rivera

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

    12/23/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020066775501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jaime I. Sanchez Rivera, Respondent Former General Securities Principal Former General Securities Representative CRD No. 6013022 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Jaime I. Sanchez Rivera ("Sanchez") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2020066775501data-portal.finra.orgfinra.org

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