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JOHN ALLAN JONES

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    05/19/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERES Department of Market Regulation, Complainant vs. John Allan Jones (CRD No. 2558599) Respondent. Disciplinary Proceeding No. 20050013986-02 Hearing Officer Rochelle S. Hall ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 15, 2010 INTRODUCTION Disciplinary Proceeding No. 20050013986-02 was filed on December 24, 2009, by the Department of Market Regulation of the Financial Industry Regulatory Authority ("FINRA") ("Complainant"). Respondent John

    12/24/2009: Financial Industry Regulatory Authority Office of Hearing Officers Department of Market Regulation, Complainant, v. Allan J. Satterfield (CRD No. 4087020) and John Allan Jones (CRD No. 2558599) Respondents. Disciplinary Proceeding No. 20050013986-02 Hearing Officer: COMPLAINT The Department of Market Regulation alleges: Summary 1. Beginning in December 2004 and continuing through August 2005, while employed as salesmen at Wellstone Securities LLC, Respondents Allan J. Satterfield and John Allan Jones,

    Reference 2005001398602data-portal.finra.orgdata-portal.finra.orgfinra.org

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