ALAN JAY DAVIDOFSKY
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/26/2013: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant vs. Alan Jay Davidofsky Delray Beach, FL, Respondent. DECISION Complaint No. 2008015934801 Dated: April 26, 2013 Respondent engaged in unauthorized trading, excessive trading, and churning in a customer's individual retirement account. Held, findings affirmed and sanctions affirmed. Appearances For the Complainant: Sarah B. Belter, Esq. and Leo F. Orenstein, Esq.,
Reference 2008015934801data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1389312 |
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