JASON J. DEFELICE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/29/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jason J. DeFelice CRD No. 2748462, Respondent. Disciplinary Proceeding No. E072003011204 Hearing Officer RSH ORDER ACCEPTING OFFER OF SETTLEMENT Date: May 29, 2009 INTRODUCTION Disciplinary Proceeding No. E072003011204 was filed on June 30, 2008, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).
06/30/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Jason J. DeFelice CRD No. 2748462 Respondent. DISCIPLINARY PROCEEDING NO. E072003011204 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Beginning in 2002, Respondent DeFelice and another J.P. Turner registered individual, RG, engaged in a private placement offering of interests in the Encierro Fund, L.L.P., a hedge fund operated by DeFelice and RG, through means of an offering
Reference E072003011204data-portal.finra.orgdata-portal.finra.orgfinra.org
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