Nex Systems
Person

JEFFREY S. POOL

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/23/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JEFFREY S. POOL (CRD No. 4226678), Respondent. Disciplinary Proceeding No.20090180372 Hearing Officer-Andrew H. Perkins DEFAULT DECISION December 23, 2010 Respondent is barred from associating with any FINRA registered firm in any capacity for converting funds, in violation of NASD Conduct Rule 2110 and FINRA Conduct Rule 2010. Appearances Jessica Hopper, Esq., for the Department of Enforcement. No

    Reference 2009018037201finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number4226678

Other names1

Also known as1

JEFFREY SCOTT POOL

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