JOSE M. CANALES

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/22/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041231501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jose M. Canales, Respondent Former Registered Representative CRD No. 1945614 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is
Reference 2014041231501data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1945614

Other names1

Also known as1

JOSE MARTIN CANALES

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