CESAR ROEL PEREZ
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/24/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Cesar Roel Perez CRD No. 3091992 Respondent. Disciplinary Proceeding No. C06050019 Hearing Officer: COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Respondent Cesar Roel Perez ("Perez") entered the securities industry in July 1998, when he associated with NASD member firm Chase Securities Of Texas, Inc, which later became Chase Investment Services Corp. ("Chase").
08/22/2006: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Cesar Roel Perez CRD No. 3091992 Respondent. Disciplinary Proceeding No. C0620050019 Hearing Officer: SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: August 21, 2006 INTRODUCTION Disciplinary Proceeding No. C06050019 was filed on June 27, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondent Cesar Roel Perez ("Respondent" or "Perez") submitted an Offer of Settlement ("Offer") to Complainant
Reference C0620050019data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3091992 |
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