DAVID R NEWSOM
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/24/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID R. NEWSOM (CRD No. 4955430), Respondent. DISCIPLINARY PROCEEDING No. 2011029091701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. While associated with Chase Investment Services Corp. ("CISC"), Respondent David R. Newsom stole more than $400,000 from customer accounts at the Firm's affiliate, JP Morgan Chase Bank ("Bank"). Newsom also caused letters to be issued on Bank letterhead
06/21/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. David R. Newsom, (CRD No. 4955430), Respondent. Disciplinary Proceeding No. 2011029091701 Hearing Officer - Andrew H. Perkins ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 21, 2012 INTRODUCTION Disciplinary Proceeding No. 2011029091701 was filed on April 24, 2012, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent David R. Newsom
Reference 2011029091701data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4955430 |
Other names1
Also known as1
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