Juan Manuel Ceja (Indio, California)

July 1, 2021 – An AWC was issued in which Ceja was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Ceja consented to the sanction and to the entry of findings that he refused to cooperate with FINRA’s request for documents and information in connection with its investigation into allegations contained in his Uniform Termination Notice for Securities Industry Registration (Form U5). The findings stated that Ceja’s member 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 policies that had lapsed. Ceja received over $30,000 in advance commissions. (FINRA Case #2021070491301).