JONATHAN D. POLAND

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/11/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. JONATHAN D. POLAND, General Securities Representative (CRD NO. 4456200), RESPONDENT. DISCIPLINARY PROCEEDING NO. 2005000895501 COMPLAINT The Department of Enforcement alleges: 1. Jonathan D. Poland entered the securities industry on January 9, 2002 as a General Securities Representative of LH Ross & Company, Inc., a former member of NASD. Jonathan D. Poland, during all periods mentioned herein, was associated with member firm LaSalle
05/10/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. JONATHAN D. POLAND (CRD No. 4456200), Respondent. Disciplinary Proceeding No. 2005000895501 Hearing Officer-AWH DEFAULT DECISION May 10, 2007 Formerly registered representative barred for failure to appear for testimony, in violation of Procedural Rule 8210 and Conduct Rule 2110. In light of the bar, no further sanctions imposed for effecting two unauthorized transactions in customer's account. Appearances: Laura Leigh Blackston, Esq.
Reference 2005000895501data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	4456200

Other names1

Also known as1

JONATHAN DAVID POLAND

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