JEFFREY S WEICK
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/19/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JEFFREY S. WEICK (CRD No. 4293526), Disciplinary Proceeding No. E072004078401 Hearing Officer - SW DEFAULT DECISION Date: July 19, 2006 Respondent. Respondent was barred for executing forty-one unauthorized transactions in the accounts of four customers, in violation of Section 10(b) of the Securities Exchange Act of 1934, SEC Rule 10b-5 thereunder, and NASD Conduct Rules 2120 and 2110. Appearances
Reference E072004078401finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4293526 |
Other names1
Also known as1
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