JERICHO GUAZON NICOLAS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/05/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. JERICHO NICOLAS (CRD No. 2030192), ANGEL CRUZ (CRD No. 1988787), and ANTHONY JOSEPH MARTINEZ (CRD No. 1568443), Respondents. Disciplinary Proceeding No. CAF040052 HEARING PANEL DECISION Hearing Officer-SW Date: June 5, 2006 The Respondents are barred in all capacities because they participated in a fraudulent scheme, as alleged in count one of the Complaint, thereby violating:
03/12/2008: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Jericho Nicolas San Francisco, CA, Angel Cruz San Francisco, CA, and Anthony Joseph Martinez Lake Grove, NY, Respondents. DECISION Complaint No. CAF040052 Dated: March 12, 2008 Respondents participated in a fraudulent trading ahead scheme and made material omissions, which involved best execution violations and the issuance
Reference CAF040052data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2030192 |
Other names1
Also known as1
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