JERRY JASON RICE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/16/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jerry Jason Rice (CRD No. 4203426), Respondent. DISCIPLINARY PROCEEDING NO. 20080145071 COMPLAINT The Department of Enforcement ("Enforcement") alleges: SUMMARY 1. Between approximately June 2008 and July 2008, Respondent Jerry Jason Rice ("Respondent") made material misrepresentations regarding a bond investment to a customer and caused bonds to be purchased in a customer's account without
06/10/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JERRY JASON RICE (CRD No. 4203426), Respondent. Disciplinary Proceeding No. 20080145071 Hearing Officer-SNB DEFAULT DECISION June 10, 2011 Respondent is barred from associating with any FINRA member firm in any capacity for failing to provide information and testimony, in violation of FINRA Procedural Rule 8210 and Conduct Rule 2010. In light of the bar, no additional sanction is imposed for
Reference 2008014507101data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4203426

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