THERESA I REYES

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/27/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Theresa I. Reyes (CRD No. 5544722), Respondent. DISCIPLINARY PROCEEDING No. 2011030672401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between approximately August 2011 and October 2011, while employed as a personal banker with JPMorgan Chase Bank NA (JPMorgan) and associated with FINRA member firm Chase Investment Services Corp (CISC), Theresa I. Reyes added her husband as an
Reference 2011030672401finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/20/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Theresa Reyes, CRD No. 5544722, Respondent. Disciplinary Proceeding No. 2011030672401 Hearing Officer: RLP ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 20, 2013 INTRODUCTION Disciplinary Proceeding No. 2011030672401 was filed on November 27, 2012, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Theresa Reyes submitted an Offer
Reference 2011030672401finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	5544722

Other names2

Also known as2

THERESA REYESTHERESA I. REYES

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