JONATHAN J. GREENFIELD

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/30/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jonathan Greenfield, (CRD No. 2591266), Respondent. DISCIPLINARY PROCEEDING No. 2012034936501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period March 2012 to October 2012, Respondent Jonathan Greenfield recklessly and at times intentionally made material misrepresentations and omissions to three customers regarding the features of GWG Renewable Secured
Reference 2012034936501data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/12/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JONATHAN J. GREENFIELD, (CRD No. 2591266), Respondent. Disciplinary Proceeding No. 2012034936501 Hearing Officer - CC ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 12, 2015 INTRODUCTION Disciplinary Proceeding No. 2012034936501 was filed on December 30, 2014, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).
Reference 2012034936501finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2591266

Other names2

Also known as2

JONATHAN GREENFIELDJONATHAN JAY GREENFIELD

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