Nex Systems
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ALAN L. JACOBS

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

    11/17/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006004949203 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alan L. Jacobs, Respondent CRD No. 1032488 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Alan L. Jacobs ("Jacobs" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC")

    Reference 2006004949203data-portal.finra.orgfinra.org

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