JOSEPH LUIS TURNES

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/26/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NOS. 2008013629601 & 2010023001602 TO: Department of Market Regulation and Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: StateTrust Investments, Inc., Respondent Member CRD No. 104651 and Joseph Luis Turnes (a/k/a Jose Luis Turnes), Respondent General Securities Representative CRD No. 2023535 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, StateTrust Investments, Inc. (''StateTrust")
Reference 2010023001602data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/26/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NOS. 2008013629601 & 2010023001602 TO: Department of Market Regulation and Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: StateTrust Investments, Inc., Respondent Member CRD No. 104651 and Joseph Luis Tumes (a/k/a Jose Luis Tumes), Respondent General Securities Representative CRD No. 2023535 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, StateTrust Investments, Inc.
Reference 2008013629601data-portal.finra.org finra.org

Other names1

Also known as1

JOSE LUIS TURNES

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