JOSE J MARTINEZ, JR
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/16/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. JOSE J. MARTINEZ, JR. (CRD No. 5590432), Respondent. Disciplinary Proceeding No. 2012034384101 Hearing Officer -MC DEFAULT DECISION October 16, 2013 For converting customer funds, in violation of FINRA Rule 2010, and failing to provide information to FINRA, in violation of FINRA Rules 8210 and 2010, Respondent Jose J. Martinez, Jr. is barred from associating with any FINRA member firm in any
05/03/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jose J. Martinez, Jr. (CRD No. 5590432) Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between March 2012 and August 2012 (the "Relevant Period"), while dually employed as a registered personal banker at JPMorgan Chase ("Chase Bank") and Chase Investment Services Corp. (the "Firm"), Jose J. Martinez, Jr. ("Martinez" or "Respondent"), violated FINRA Rule 2010 by
Reference 2012034384101data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5590432 |
Other names1
Also known as1
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