Jason Lee Ballor
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/15/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064149701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jason Lee Ballor ("Ballor" or "Respondent") Associated Person of a Funding Portal Member CRD No. 6853439 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Jason Lee Ballor submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019064149701finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6853439 |
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