Nex Systems
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JACK M. SCHWARTZ

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

    11/01/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jack M. Schwartz, (CRD No. 1027281) Respondent. Disciplinary Proceeding No. C04050024 Hearing Officer - SNB ORDER ACCEPTING OFFER OF SETTLEMENT I. INTRODUCTION NASD's Department of Enforcement ("DOE") filed the Complaint in Disciplinary Proceeding No. C04050024 on June 13, 2005. Respondent Jack M. Schwartz ("Respondent Schwartz") submitted an Offer of Settlement ("Offer") to the DOE on October 31, 2005. Pursuant to Code of Procedure

    Reference C04050024finra.orgdata-portal.finra.org

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