JEFFREY CHARLES PLUNKETT

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/26/2007: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant v. Jeffrey Charles Plunkett Registered Representative CRD No. 2731884 Respondents DISCIPLINARY PROCEEDING 2005003235201 Hearing Officer: __ COMPLAINT The Department of Enforcement alleges: 1. Respondent Jeffrey Charles Plunkett entered the securities industry in May 1996 as an Investment Company and Variable Contracts Products Representative with member firm Pruco Securities Corporation. In April 2000, he voluntarily ended his
08/20/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JEFFREY CHARLES PLUNKETT (CRD No. 2731884), Respondent. Disciplinary Proceeding No. 2005003235201 Hearing Officer-Andrew H. Perkins DEFAULT DECISION August 20, 2007 Respondent is barred from associating with any member firm for forgery and conversion of customer funds, in violation of Conduct Rules 2330(a) and 2110, and for failure to respond to requests for information, in violation of Procedural
Reference 2005003235201data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2731884

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