JUAN MANUEL CEJA

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/01/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070491301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Juan M. Ceja (Respondent) Former Investment Company and Variable Contracts Products Principal; and Investment Company and Variable Contracts Products Representative CRD No. 2732374 Pursuant to FINRA Rule 9216, Respondent Juan M. Ceja submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
Reference 2021070491301finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2732374

Other names1

Also known as1

Juan M. Ceja

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