JENNIFER M DAVIS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/04/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS Department of Enforcement Complainant v. JENNIFER M. DAVIS CRD No. 3235731 Disciplinary Proceeding No. 2007007754801 Hearing Officer: MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 4. 2010 INTRODUCTION Disciplinary Proceeding No. 2007007754801 was filed on September 29, 2008, by the Department of Enforcement of the Financial Industry Regulatory Authority
Reference 2007007754801data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3235731 |
Other names1
Also known as1
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