JASON MICHAEL OTTO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/03/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant. v. Jason Michael Otto (CRD No. 5215431), Respondent. DISCIPLINARY PROCEEDING No. 2014041319401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between July 2013 through April 2014 (the ''relevant period"), Respondent, a licensed banker with Wells Fargo Bank ("the Bank"), converted funds from the Bank by improperly charging off a $4,346.49 debit balance in his account.
07/17/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JASON MICHAEL OTTO (CRD No. 5215431), Respondent. Disciplinary Proceeding No. 2014041319401 Hearing Officer-MJD DEFAULT DECISION July 17, 2015 Respondent is barred from associating with any FINRA member firm in any capacity for (i) conversion, in violation of FINRA Rule 2010, and (ii) failing to respond to requests for information and appear for testimony, in violation of
Reference 2014041319401data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	5215431

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