ALAN J. DAVIDOFSKY
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/23/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Alan J. Davidofsky [CRD No. 1389312], Respondent. DISCIPLINARY PROCEEDING No. 2008015934801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From December 2007 through September 2008, Respondent Alan J. Davidofsky executed ninety transactions for a firm customer without the customer's knowledge or consent, in violation of NASD Conduct Rule 2110 and IM-2310-2. These transactions, in
03/30/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ALAN J. DAVIDOFSKY (CRD No. 1389312), Respondent. Disciplinary Proceeding No. 2008015934801 Hearing Officer-Andrew H. Perkins HEARING PANEL DECISION March 30, 2012 Respondent churned a customer's account, made quantitatively unsuitable recommendations, and effected unauthorized transactions. Respondent is barred and ordered to disgorge $11,741.78. In addition, Respondent is ordered to pay costs.
Reference 2008015934801data-portal.finra.orgfinra.orgdata-portal.finra.org
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