ERIC DEWAYNE JONES
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/22/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ERIC DEWAYNE JONES (CRD No. 4214311), Respondent. Disciplinary Proceeding No. 2011029939801 Hearing Officer-MAD DEFAULT DECISION November 22, 2013 Respondent is barred from associating with any FINRA registered firm in any capacity for: (1) forging a customer's signature, in violation of NASD Conduct Rule 2110; (2) converting funds from a customer, in violation of NASD
07/12/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Eric DeWayne Jones (CRD No. 4214311), Respondent. DISCIPLINARY PROCEEDING NO. 2011029939801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From December 22, 2007 to October 28, 2008, Eric DeWayne Jones, on four separate occasions, forged a customer's name on withdrawal request forms, used these forms to withdraw a total of $8,500 from the customer's account, and took personal
Reference 2011029939801data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4214311 |
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