JAMES ALAN SEIJAS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/02/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066137801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James A. Seijas (Respondent) Former General Securities Representative CRD No. 2392901 Pursuant to FINRA Rule 9216, Respondent James A. Seijas submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2020066137801data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2392901

Other names1

Also known as1

James A. Seijas

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