JEREMY D. HARE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/04/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jeremy D. Hare (CRD No. 2593809), Respondent. DISCIPLINARY PROCEEDING No. 2008014015901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From March 2007 through September 2007, Jeremy D. Hare (Hare) exercised discretion in a customers account without written authorization from the customer or acceptance of the account as discretionary by his member firm.
09/18/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JEREMY D. HARE (CRD No. 2593809), Respondent. Disciplinary Proceeding No. 2008014015901 Hearing Officer - MAD HEARING PANEL DECISION September 18, 2012 Respondent is barred from associating with any member in any capacity for providing false information and testimony to FINRA in connection with its investigation of his trading, in violation of FINRA Procedural Rule 8210 and
Reference 2008014015901data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2593809 |
Other names1
Also known as1
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.