JOSE LUIS VINAS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/05/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOSE LUIS VINAS (CRD No. 4014454), Respondent. Disciplinary Proceeding No. 20090171989 Hearing Officer-Andrew H. Perkins DEFAULT DECISION April 5, 2011 Respondent is barred from associating with any FINRA registered firm in any capacity for converting funds from customers, in violation of Conduct Rules 2330(A) and 2110; for forgoing customers' signatures, in violation of Conduct Rule 2010; for
10/28/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. JOSE LUIS VINAS, (CRD 4014454) RESPONDENT. DISCIPLINARY PROCEEDING No. 20090171989 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From on or about July 2006 through March 2009, Respondent, a former registered representative with UBS International, Inc. ("UBS") and Citigroup Global Markets, Inc. ("Citi") converted approximately $3.3 million from a total of eight mostly Mexico-
Reference 2009017198901data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4014454 |
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