TIARA MONIQUE JONES

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/16/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Tiara Monique Jones (CRD No. 5366042), Respondent. DISCIPLINARY PROCEEDING NO. 2011029429001 COMPLAINT The Department of Enforcement (the "Department") alleges: SUMMARY 1. On August 25, 2011, while Respondent Tiara Monique Jones ("Jones") was registered with Chase Investments Services Corp. ("CISC" or "the Firm"), Jones misappropriated funds from J.P. Morgan Chase Bank, N.A. ("Chase bank") retail
04/08/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. TIARA MONIQUE JONES (CRD No. 5366042), Respondent. Disciplinary Proceeding No. 2011029429001 Hearing Officer - LBB DEFAULT DECISION Dated: April 8, 2013 For misappropriation of funds, in violation of FINRA Rule 2010, Respondent is barred from associating with any FINRA member firm in any capacity. Respondent is also barred for failing to appear and testify at two on-the-record interviews, in
Reference 2011029429001data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5366042

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