JOHN W. PENA

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/04/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. John W. Pena (CRD No. 2780628), Respondent. DISCIPLINARY PROCEEDING No. 2007010533701 Hearing Officer: SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 4, 2010 INTRODUCTION Disciplinary Proceeding No. 2007010533701 was filed on November 20, 2009, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent John W. Pena submitted an Offer of
Reference 2007010533701finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2780628

Other names1

Also known as1

JOHN WILLIAM PENA

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