In the Matter of Jay Deron Zornes

Jay Deron Zornes refused to provide information and documents or appear for on-the-record testimony requested by FINRA in connection with its investigation into whether he used unapproved channels to communicate with customers of his member firm. The investigation originated from FINRA’s review of a Form U5 filed by Zornes’ firm that stated that he was permitted to resign while under investigation for using unapproved email addresses and an unapproved text messaging number to communicate with clients, according to FINRA.

Summary generated from official Financial Industry Regulatory Authority press release