JOEY N PEREZ
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/30/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOEY N. PEREZ (CRD No. 4739449), Respondent. DISCIPLINARY PROCEEDING NO. 2006005690401 COMPLAINT The Department of Enforcement alleges: 1. Respondent Joey N. Perez ("Perez") entered the securities industry in November 2003, in an unregistered capacity. He was later registered with Chase Investment Services Corp. ("Chase") as an Investment Company and Variable Contracts Products Representative in December 2005. Perez was employed by
08/13/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOEY N. PEREZ (CRD No. 4739449), Respondent. Disciplinary Proceeding No. 2006005690401 Hearing Officer-Andrew H. Perkins DEFAULT DECISION August 13, 2007 Respondent is barred from associating with any member firm for issuing a bank debit card on a customer's bank account without the customer's knowledge or authorization, in violation of Conduct Rule 2110; and failure to respond to requests for
Reference 2006005690401data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4739449 |
Other names1
Also known as1
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