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JACK LAWRENCE HOWARD

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

    06/29/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS, DEPARTMENT OF MARKET REGULATION, Complainant, v. JACK LAWRENCE HOWARD (CRD No. 1273894), Respondent. Disciplinary Proceeding No. 20110263957-01 Hearing Officer-RSH HEARING PANEL DECISION June 29, 2015 The Department of Market Regulation failed to prove by a preponderance of the evidence that Respondent violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 promulgated thereunder, and FINRA Rules 2010 and 2020 by

    06/20/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, V. Jack Lawrence Howard (CRD 1273894), Respondent. Disciplinary Proceeding No. 20110263957-01 COMPLAINT The Department of Market Regulation alleges: SUMMARY 1. Respondent Jack Lawrence Howard purchased shares of publicly-traded, non-SEC registrant shell company Gateway Industries, Inc. (PK:GWAY) ("Gateway"), for which he served as Chief Executive Officer and Chairman of the Board, after he

    Reference 2011026395701data-portal.finra.orgfinra.orgdata-portal.finra.org

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