Nex Systems
Type not stated

JACK MACE SCHWARTZ

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/13/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jack Mace Schwartz General Securities Representative, General Securities Principal and Financial and Operations Principal (CRD No. 1027281) Respondent. Disciplinary Proceeding No. C0405002 Hearing Officer COMPLAINT Upon information and belief, Complainant alleges as follows: 1. From June 28, 1993 through May 26, 2004, Respondent Jack Mace Schwartz ("Respondent Schwartz") was associated with NASD member Linsco/Private Ledger Corp.

    Reference C04050024data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.