JEFFREY JAY CAHN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/17/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. JEFFREY JAY CAHN (CRD No. 4030416) Respondent. Disciplinary Proceeding No.2006005134301 Hearing Officer - AWH DEFAULT DECISION May 17, 2007 Formerly registered representative borrowed funds from a customer without approval of his member firm, in violation of NASD Conduct Rules 2370 and 2110; settled that customer's complaint away from his member firm
Reference 2006005134301data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4030416 |
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