Sam Jakobs

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/29/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Sam Jakobs CRD No. 6623905, Respondent Disciplinary Proceeding No. 2023077022402 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On April 4, 2024, and July 16, 2024, FINRA sent Respondent Sam Jakobs request letters pursuant to FINRA Rule 8210, requiring him to provide information and documents related to payments that Jakobs and entities affiliated with Jakobs received from a registered representative. Jakobs failed to provide any information or documents in response to these requests. As a result, Jakobs violated FINRA Rules 8210 and 2010.
03/20/2025: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SAM JAKOBS (CRD No. 6623905), Respondent. Disciplinary Proceeding No. 2023077022402 Hearing Officer–LOM DEFAULT DECISION March 20, 2025 Respondent failed to produce information and documents he was required to produce pursuant to FINRA Rule 8210. For violating FINRA Rules 8210 and 2010, he is barred from associating with any FINRA member in any capacity.
Reference 2023077022402data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	6623905

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