JEREMY M. HART

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/08/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jeremy M. Hart (CRD No. 2839085), Respondent. ORDER ACCEPTING OFFER OF SETTLEMENT DISCIPLINARY PROCEEDING No. 2009019060901 HEARING OFFICER - MC INTRODUCTION Disciplinary Proceeding No. 2009019060901 was filed on February 6, 2012, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Jeremy M. Hart submitted an Offer of Settlement (Offer)
Reference 2009019060901data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/06/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jeremy M. Hart (CRD No. 2839085), Respondent. DISCIPLINARY PROCEEDING No. 2009019060901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Jeremy M. Hart ("Hart") participated in private securities transactions involving the purchase of over $2.7 million of securities issued by two companies. DW and ACWS, by fifteen broker-dealer customers and nine non-customers. He failed to
Reference 2009019060901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2839085

Other names2

Also known as2

JEREMY HARTJEREMY MICHAEL HART

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