JEFFREY M. ESPOSITO SR.
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/04/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JEFFREY M. ESPOSITO, SR. CRD No. 2683912 Respondent. DISCIPLINARY PROCEEDING No. EAF0400220004 HEARING OFFICER - COMPLAINT Upon information and belief, the Complainant alleges as follows: SUMMARY 1. From approximately February 13, 2003 to October 14, 2003, Respondent Jeffrey M. Esposito, Sr. ("Esposito") was associated with LH Ross & Company, Inc. ("LH Ross"), a former member of NASD. This complaint concerns Esposito's sales to
Reference EAF0400220004finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/13/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JEFFREY M. ESPOSITO, SR. (CRD No. 2683912), Respondent. Disciplinary Proceeding No. EAF0400220004 Hearing Officer-Andrew H. Perkins DEFAULT DECISION March 13, 2006 Respondent made material misrepresentations and omissions of fact in connection with the offer, sale, or purchase of securities issued by L.H. Ross & Company, Inc., in violation of Section 10(b) of the Securities Exchange Act of 1934, Exchange Act Rule 10b-5, and NASD
Reference EAF0400220004data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2683912 |
Other names2
Also known as2
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.