Our firm is investigating Edward Jones broker and financial advisor Mario Renteria, Jr. (CRD# 5799356) of San Antonio, Texas for potential investment-related misconduct.
Financial Advisor’s Career History
According to FINRA BrokerCheck, Mario Renteria, Jr. has been registered with multiple firms over the course of his securities industry career and is not currently registered as of the report.
His reported registration history includes:
- Chase Investment Services Corp. (02/2012 – 04/2012)
- BBVA Compass Investment Solutions, Inc. (06/2012 – 05/2013)
- BBVA Securities Inc. (05/2013 – 05/2019)
- Edward Jones (09/2019 – 11/2022)
- J.P. Morgan Securities LLC (08/2025 – 10/2025)
Mario Renteria, Jr. Fraud Allegations and Investor Complaints Explained
FINRA BrokerCheck reflects one customer dispute and one criminal matter disclosed for Mario Renteria, Jr.
Summary of disclosed events (for context):
- Customer Dispute (Settled): Customer alleged failure to follow instructions; Mutual Fund; alleged damages $10,000; settled $2,585.35 (rep contribution $258).
- Criminal (Final): DWI charge initially alleged as felony (with child under 15) later amended/reduced to misdemeanor DWI; nolo contendere plea to amended charge; convicted; sentence included six months BCADC and $1,000 fine with confinement suspended and one year community supervision.
Customer Complaint Alleging Failure to Follow Instructions (Mutual Funds) — Settled
FINRA reports that a customer complaint was received on February 1, 2022, involving allegations that—while at Edward D. Jones & Co., L.P.—the client claimed the financial advisor failed to follow instructions and the account lost value. The listed product type is Mutual Fund, and the customer alleged $10,000 in damages.
The matter was reported as settled, with a status date of March 25, 2022. FINRA BrokerCheck lists a settlement amount of $2,585.35, with an individual contribution amount of $258.00 attributed to the advisor.
- Date complaint received: 02/01/2022
- Product type: Mutual Fund
- Allegations: Failed to follow instructions; account lost value
- Alleged damages: $10,000.00
- Status: Settled (Status date: 03/25/2022)
- Settlement amount: $2,585.35
- Advisor contribution: $258.00
Criminal Disclosure — DWI Charge Amended/Reduced; Conviction Reported
BrokerCheck also reflects a criminal disclosure with an initial charge date of October 5, 2021 in Bexar County (290th Judicial District Court), San Antonio, Texas (Case 2021CR9082). The formal charge was reported as DRIV WHILE INTOX-W/CHILD < 15 (initially listed as a felony), later amended on November 2, 2021 to DRIVING WHILE INTOXICATED (misdemeanor). The report lists a nolo contendere plea to the amended misdemeanor charge and a conviction.
- Charge date: 10/05/2021
- Original charge: DWI with child under 15 (initially listed as felony)
- Amended/reduced (date): 11/02/2021 → DWI (misdemeanor)
- Amended plea: Nolo contendere
- Disposition: Convicted (Final)
- Reported sentence/penalty: Six months BCADC; $1,000 fine; confinement suspended; one year community supervision
To obtain a copy of Mario Renteria, Jr.’s FINRA BrokerCheck report, visit this link.
Robert Wayne Pearce Is Committed to Recovering Your Investment Losses
FINRA Rule 2111 (Suitability) is commonly implicated when a customer alleges that account activity did not align with what they wanted or with their financial objectives. In a dispute involving mutual funds and alleged failure to follow instructions, suitability issues can arise if the investment strategy, fund selection, or transactions were inconsistent with the customer’s stated goals, time horizon, and risk tolerance—especially if the customer contends they gave specific directions that were not honored.
FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) broadly requires brokers to observe high standards of commercial honor and just and equitable principles of trade. Allegations that an advisor failed to follow a customer’s instructions—leading to losses—can raise Rule 2010 concerns because firms and associated persons are expected to act ethically, communicate accurately, and handle customer accounts in a manner consistent with agreed-upon directions and basic industry standards.
FINRA Rule 3110 (Supervision) requires brokerage firms to establish and maintain a system to supervise the activities of their associated persons. When a customer complaint alleges an advisor did not follow instructions, the firm’s supervisory procedures—such as documentation of instructions, trade approvals, exception reporting, and review of account activity—can become central issues in evaluating whether the firm adequately supervised the advisor and whether preventable account handling problems contributed to investor harm.
For over 45 years, Robert Wayne Pearce has helped investors recover losses caused by broker fraud, negligence, and unsuitable recommendations. His firm, The Law Offices of Robert Wayne Pearce, P.A., represents clients nationwide on a no-recovery, no-fee basis. Call (800) 732-2889 or email pearce@rwpearce.com for a free case review with an experienced securities attorney.