JAIME ANDRES DIAZ
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/17/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, v. JAIME ANDRES DIAZ (CRD No. 4298373), Respondent. Disciplinary Proceeding No. 20110295459-02 Hearing Officer - CC DEFAULT DECISION April 17, 2014 Respondent is barred for willfully misrepresenting and omitting material facts in connection with purchases and sales of securities, in violation of Section 10(b) of the Exchange Act, Exchange Act Rule 10b-5, and FINRA Rules 2020 and 2010; converting
11/22/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, v. JAIME ANDRES DIAZ (CRD 4298373), Respondent. DISCIPLINARY PROCEEDING No. 20110295459 - 02 HEARING OFFICER: COMPLAINT The Department of Market Regulation alleges: Summary 1. Beginning in December 2009 and continuing through November 2011, Jaime Andres Diaz ("Diaz"), while registered at a FINRA member firm, by means of deceptive, manipulative, and other fraudulent devices or contrivances,
Reference 2011029545902data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4298373 |
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