JOSUE A. VILLAREAL

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/05/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Josue A. Villareal CRD No. 4743080 Respondent. DISCIPLINARY PROCEEDING No. 2006006947101 Hearing Officer: SW ORDER ACCEPTING OFFER OF SETTLEMENT May 5, 2008 INTRODUCTION Disciplinary Proceeding No. 2006006947101 was filed on February 28, 2008, by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA"). ("Complainant"). Respondent Villareal submitted and Offer of
02/28/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Josue A. Villareal CRD No. 4743080 Respondent. DISCIPLINARY PROCEEDING No. 2006006947101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. This complaint alleges that: (1) from August 23 - October 26, 2006, Respondent Villarreal converted a total of $6,083.05 that he had received for insurance premiums from 18 insurance policyholders, in violation of NASD Conduct Rule 2110; and (2)
Reference 2006006947101data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4743080

Other names1

Also known as1

JOSUE AMARO VILLARREAL

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