JAMES M KATAYANAGI

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/13/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. James M. Katayanagi, CRD No. 4890437, Respondent. Disciplinary Proceeding No. 2013035572001 Hearing Officer - Lucinda O. McConathy ORDER ACCEPTING OFFER OF SETTLEMENT Date: August 13, 2014 INTRODUCTION Disciplinary Proceeding No. 2013035572001 was filed on June 24, 2014, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).
06/24/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. James M. Katayanagi (CRD No. 4890437), DISCIPLINARY PROCEEDING No. 2013035572001 Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period January 2012 through November 2012, James M. Katayanagi ("Katayanagi" or "Respondent"), who was registered at Chase Investment Services Corp. (and then, beginning in October 2012, at J.P. Morgan Securities LLC)
Reference 2013035572001finra.org data-portal.finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	4890437

Other names1

Also known as1

JAMES M. KATAYANAGI

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