GREAT EASTERN SECURITIES INC.
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/08/2006: NASD OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. Great Eastern Securities, Inc. (B/D No. 2061), and Jeffrey Ramson (CRD No. 1574903), Respondents. Disciplinary Proceeding No. 20042000053-02 Hearing Officer: AWH ORDER ACCEPTING OFFER OF SETTLEMENT OF GREAT EASTERN SECURITIES, INC. AND JEFFREY RAMSON Date: November 8, 2006 Disciplinary proceeding number 20042000053-02 was filed on April 1
Reference 2004200005302data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/04/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ELI20020048-01 TO: Department of Enforcement NASD RE: Great Eastern Securities, Inc., Member Firm (BD No. 2061) Pursuant to Rule 9216 of NASD Code of Procedure, Great Eastern Securities, Inc. ("Great Eastern"), and (collectively "Respondents") submit this Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD
Reference ELI2002004801data-portal.finra.orgfinra.org
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