MICHAEL JEAN-PAUL MASON
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/06/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MICHAEL JEAN-PAUL MASON (CRD No. 4938877), Respondent. Disciplinary Proceeding No. 2015044198601 Hearing Officer CC DEFAULT DECISION March 6, 2017 Respondent failed to appear twice for on-the-record testimony, in violation of FINRA Rules 8210 and 2010. For these violations, Respondent is barred from associating with any member firm in any capacity. Appearances For Complainant: Rebecca L. Segrest,
11/02/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, V. MICHAEL JEAN-PAUL MASON, (CRD No. 4938877), RESPONDENT. DISCIPLINARY PROCEEDING No. 2015044198601 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In September and October 2016, Respondent Michael Jean-Paul Mason failed to appear for testimony that he was obligated to attend pursuant to FINRA Rule 8210. As a result, Mason violated FINRA Rules 8210 and 2010.
Reference 2015044198601data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4938877 |
Other names1
Also known as1
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