JEFFREY L. ADELL

03/02/2006: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jeffrey L. Adell, CRD No. 2638760 Respondent. Disciplinary Proceeding No. 20050003867 Hearing Officer COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Respondent Jeffrey L. Adell ("Respondent") became registered with NASD on September 21, 1995 as an Investment Company Products/Variable Contracts Representative. On January 19, 1999, Respondent became a General Securities Representative. Between the time period

07/21/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JEFFREY L. ADELL (CRD No. 2638760), Respondent. Disciplinary Proceeding No. 20050003867 DEFAULT DECISION Hearing Officer - SNB July 21, 2006 For forgery and falsification of documents, in violation of Rule 2110; for conversion of customer funds, in violation of Rules 2330(a) and 2110; and for failure to provide requested information, in violation of Rules 8210 and 2110, Respondent is barred from associating with any NASD member

Reference 2005000386701data-portal.finra.orgdata-portal.finra.orgfinra.org