JASON LAMPIER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/28/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jason Lampier (CRD No. 5343593), Respondent. DISCIPLINARY PROCEEDING No. 2011030498301 Hearing Officer: DRS ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 28, 2014 INTRODUCTION Disciplinary Proceeding No. 2011030498301 was filed on December 11, 2013, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (''Complainant"). Respondent Jason
12/11/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jason Lampier (CRD No. 5343593), Respondent. DISCIPLINARY PROCEEDING No. 2011030498301 Hearing Officer: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In June 2008, Jason Lampier ("Lampier" or "Respondent") made fraudulent misrepresentations to a customer in connection with the sale of securities consisting of units of an oil and gas limited partnership.
Reference 2011030498301data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	5343593

Other names1

Also known as1

JASON ONEAL LAMPIER

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