Nex Systems
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Jack Brian Weinstock

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

    08/12/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JACK BRIAN WEINSTOCK (CRD No. 4125551), Respondent Disciplinary Proceeding No. 20100226015-01, Hearing Officer - MC HEARING PANEL DECISION August 12, 2014 Respondent violated NASD Rules 3030 and 2110 by accepting compensation from another person as a result of an outside business activity, without providing prompt written notice to his firm. The Hearing Panel suspends him in all capacities for six

    07/21/2016: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complaint, vs. Jack Brian Weinstock Torrance, CA, Respondent. DECISION Complaint No. 2010022601501 Dated: July 21, 2016 Respondent engaged in outside business activities without providing written notice to his firm. Held, findings and sanctions affirmed. Appearances For the Complainant: Andrew T. Beirne, Esq., Michael Wajda, Esq., Lara Thyagarajan, Esq., Department of Enforcement,

    Reference 2010022601501data-portal.finra.orgdata-portal.finra.orgfinra.org

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