JAMIN M. EPSTEIN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/23/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMIN M. EPSTEIN (CRD No. 1897974), Respondent. Disciplinary Proceeding No.2005003508101 Hearing Officer - DRP DEFAULT DECISION March 23,2007 Respondent is barred from association with any member firm in any capacity for making misrepresentations of fact, in violation of NASD Conduct Rule 2110, and for failing to provide testimony, in violation of NASD Procedural
11/02/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant v. Jamin M. Epstein CRD No. 1897974 Respondent Disciplinary Proceeding No. 2005003508101 Hearing Officer- COMPLAINT The Department of Enforcement alleges that I. Jamin M. Epstein Entered the securities industry in 1988. From 1989 to November 2003, he was associated with Financial Investment Analysts, Inc. and was registered with NASD as a Representative.
Reference 2005003508101data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1897974 |
Other names1
Also known as1
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