JON H. JOSEPHSON
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/31/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Jon H. Josephson CRD No. 2959512, Respondent. DISCIPLINARY PROCEEDING NO. 2007008238101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period from December 1999 until June 2003, Respondent Jon H. Josephson, without the knowledge or consent of his wife DRJ, effected thirteen partial liquidations of DRJ's variable annuity in the total amount of approximately $48,716.81 and made
05/27/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jon H. Josephson CRD No. 2959512, Respondent. Disciplinary Proceeding No. 2007008238101 Hearing Officer: MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: May 27, 2009 INTRODUCTION Disciplinary Proceeding No. 2007008238101 was filed on December 31, 2008, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Jon H. Josephson submitted an Offer of
Reference 2007008238101data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2959512 |
Other names1
Also known as1
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