Juan Ceja Investigation
May 2022 – Medford, OR
According to publicly available records, Juan Manuel Ceja, a former stockbroker who was last employed by PFS Investments Inc., discloses a prior regulatory matter and a termination from employment.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In July 2021, in FINRA case #2021070491301 Ceja consented to the sanction and to the entry of findings that he refused to provide information and documents requested by FINRA. The findings stated that this matter originated from FIRNA’s investigation for the U5 filed by Ceja’s member firm. The findings stated that Ceja‘s firm terminated him over allegations that he falsified the electronic signatures of the firm’s insurance affiliate clients in order to renew term life insurance polities that had lapsed. Ceja received over $30,000 in advanced commissions. Ceja was permanently barred from FINRA in all capacities.
In February of 2021 Ceja was discharged from PFS Investments, Inc. after submitting term life insurance applications with questionable and/or invalid information.
If you have losses in an investment account handled by Juan Manuel Ceja contact us for a no charge consultation with an experienced securities attorney to learn about your legal options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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