Nex Systems
Person

JACOB LERMAN

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/04/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042671201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jacob Lerman, CRD No. 5945678, Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Jacob Lerman ("Lerman"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2014042671201finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number5945678

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