JUAN J PEREZ, JR
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/09/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JUAN J. PEREZ, JR. (CRD No. 5467624), Respondent. Disciplinary Proceeding No. 2009017437001 Hearing Officer-MC DEFAULT DECISION June 9, 2011 Respondent is barred from associating with any FINRA member firm in any capacity for misappropriating funds, in violation of NASD Conduct Rule 2110 and FINRA Rule 2010.
Reference 2009017437001data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5467624 |
Other names1
Also known as1
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