ELLIOTT NADEL
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/02/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ELLIOTT NADEL (CRD No. 812711), Respondent. Disciplinary Proceeding No. ELI2004039602 Hearing Officer - SNB DEFAULT DECISION March 2, 2006 For conversion of customer funds, in violation of Rules 2330(a) and 2110, and for failure to provide requested information, in violation of Rules 8210 and 2110, Respondent is barred from associating with any NASD member in any capacity. Respondent is also ordered to make restitution to a customer
Reference ELI2004039602data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/26/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ELLIOT NADEL (CRD No. 812711), Respondent. Disciplinary Proceeding No. ELI2004039602 Hearing Officer - Upon information and belief, the Department of Enforcement alleges that: JURISDICTION 1. Respondent Elliot Nadel ("Respondent") first became registered with NASD, as a General Securities Representative ("GSR"), on approximately September 20, 1975. 2. From on or about December 21, 2000 through on or about December 19, 2003,
Reference ELI2004039602finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 812711 |
Other names1
Also known as1
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