INVESTORS: Former Cetera Advisor Networks broker Robert Jonathan Spencer was barred by FINRA after he refused to produce documents and information requested in connection with FINRA’s investigation into whether he participated in unapproved private securities transactions.
Robert Jonathan Spencer (CRD#:431878) was registered as a broker with from 2013 until 2021. Previously, Spencer was registered as a broker with Tower Square Securities from 1996 until 2013.
Spencer has one disclosure on his BrokerCheck report.
February 2022 Regulatory Judgment
Initiated By: FINRA
Allegations: Without admitting or denying the findings, Spencer consented to the sanction and to the entry of findings that he refused to produce documents and information requested by FINRA in connection with its investigation into whether he participated in unapproved private securities transactions.
Resolution: Acceptance, Waiver & Consent (AWC)
Sanctions: Bar (Permanent)
Registration Capacities Affected: All Capacities
Start Date: 2/14/2022
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