MARLO M. JONES

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/06/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MARLO M. JONES (CRD No. 5504578), Respondent. Disciplinary Proceeding No. 20100246060-01 Hearing Officer - AWL DEFAULT DECISION September 6, 2012 Respondent is barred from associating with any FINRA registered firm in any capacity for obtaining and misusing confidential information, in violation of FINRA Rule 2010, and for
Reference 2010024606001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5504578

Other names1

Also known as1

MARLO MAURICE JONES

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