JENNIFER COCHRANE PRUSSACK
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/22/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jennifer Cochrane Prussack CRD No. 4405629 Respondent. Disciplinary Proceeding No. C06050006 Hearing Officer: COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Respondent Jennifer Cochrane Prussack ("Prussack") entered the securities industry in June 2001, when she became associated with NASD member firm Banc One Securities Corporation ("BO Securities"). She subsequently obtained Series 6
09/14/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. Disciplinary Proceeding No. C06050006 JENNIFER COCHRANE PRUSSACK (CRD No. 4405629), Hearing Officer - SNB DEFAULT DECISION Respondent. September 14,2005 For conversion of customer funds, in violation of Rule 2110, and for failure to provide requested information, in violation of Rules 8210 and 2110, Respondent is barred from associating with any NASD member
Reference C06050006data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4405629 |
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