Nex Systems
Person

JERETTE LESLIE LERNER

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/04/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. JERETTE LESLIE LERNER (CRD No. 2336016), Respondent. Disciplinary Proceeding No. 2007010748901 Hearing Officer - MC January 4, 2010 Respondent is barred from associating with any FINRA member firm in any capacity for violating Conduct Rule 2110 by conducting securities business with an unregistered person, and for violating Conduct Rule 2110 by conducting securities business with an unregistered

    Reference 2007010748901data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2336016

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