RICHARD LEON NEWBERG

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/14/2005: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant, vs. J. Alexander Securities, Inc. Los Angeles, CA 90014, Richard Newberg Golden Beach, FL 33180, James Alexander Los Angeles, CA 90049, Respondents. DECISION Complaint No. CAF010011 Dated: June 14,2005 The Hearing Panel found that branch office manager engaged in manipulative activities, sold unregistered securities,
Reference CAF010011data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	346857

Other names1

Also known as1

RICHARD NEWBERG

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