Nex Systems
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ERIC ANDREW 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

    05/09/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. ERIC ANDREW JACOBS (CRD No. 5907784), RESPONDENT. DISCIPLINARY PROCEEDING No. 2012034284301 Hearing Officer: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On May 2, 2012, while registered with FINRA through member firm Citigroup Global Markets, Inc. ("CGMI" or the "Firm"), Respondent Eric Andrew Jacobs, a research analyst at the Firm, disseminated

    11/25/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ERIC ANDREW JACOBS (CRD No. 5907784), Disciplinary Proceeding No. 2012034284301 Hearing Officer - RLP DEFAULT DECISION November 25, 2014 Respondent is suspended from association with any FINRA member firm in any capacity for 60 days and fined $10,000 for disclosing confidential information in violation of FINRA Rule 2010.

    Reference 2012034284301data-portal.finra.orgdata-portal.finra.orgfinra.org

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