JEFFREY AUSTIN JARRETT
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/30/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, v. JEFFREY AUSTIN JARRETT (CRD No. 4402927), Respondent. Disciplinary Proceeding No. 20120315996-01 Hearing Officer- David R. Sonnenberg DEFAULT DECISION August 30, 2013 Respondent is barred from associating with any FINRA member firm ln any capacity for: (i) converting funds from two customers, in violation of FINRA Conduct Rules 2150 and 2010; (ii) defrauding a customer
04/05/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. Jeffrey Austin Jarrett (CRD 4402927), Respondent. Disciplinary Proceeding No. 20120315996-01 Hearing Officer: COMPLAINT The Department of Market Regulation alleges: Summary 1. Beginning in August 2010 and continuing through April 2011, Jeffrey Austin Jarrett ("Jarrett"), while registered at a FINRA member firm,
Reference 2012031599601data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4402927 |
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