JORGE A REYES

12/17/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JORGE A. REYES (CRD No. 4256834), Respondent. Disciplinary Proceeding No. 2016051493704 Hearing Officer-DW EXTENDED HEARING PANEL DECISION December 17, 2019 Respondent Jorge Reyes willfully defrauded investors in connection with nearly $4 million in investments in three private placement offerings and

10/07/2021: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Jorge A. Reyes, Miami Beach, FL, Respondent. DECISION Complaint No. 2016051493704 Dated: October 7, 2021 Registered representative fraudulently misrepresented and omitted material facts, recommended unsuitable securities to a particular customer, converted funds, and created and used marketing materials that violated the standards for public communications by FINRA members

12/11/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. Jorge A. Reyes (CRD No. 4256834), Former Registered Representative, Respondent. Disciplinary Proceeding No. 2016051493704 Hearing Officer: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From appoximately May 2013 through August 2016 (the "Relevant Period"), Respondent Jorge A. Reyes (1) fraudulently sold private offerings; (2) converted funds from a customer

Reference 2016051493704data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org