Miche D Jean

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/26/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068648601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Miche D. Jean (Respondent) Former General Securities Representative CRD No. 5918186 Pursuant to FINRA Rule 9216, Respondent Miche D. Jean submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2020068648601finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/10/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Miche D. Jean CRD No. 5918186, Respondent. Disciplinary Proceeding No. 2022076975901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Miche Jean failed to provide information and documents and appear for on-the-record testimony that FINRA requested pursuant to FINRA Rule 8210 as part of an investigation into whether Jean converted money from his customer. As a result, Jean violated FINRA Rules 8210 and 2010.
06/27/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MICHE D. JEAN (CRD No. 5918186), Respondent. Disciplinary Proceeding No. 2022076975901 Hearing Officer–DRS DEFAULT DECISION June 27, 2023 Respondent is barred from associating with any FINRA member in any capacity for failing to provide information and documents and appear for on-the-record testimony that FINRA requested in connection with an investigation. Appearances For the Complainant: Matthew M. Ryan, Esq., Melissa J. Turitz, Esq., and Jeff Fauci, Esq., Department of Enforcement, Financial Industry Regulatory Authority For the Respondent: No appearance
Reference 2022076975901data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5918186

Other names1

Also known as1

Miche D. Jean

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