JAMES ALEXANDER

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/14/2005: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant, vs. J. Alexander Securities, Inc. Los Angeles, CA 90014, Richard Newberg Golden Beach, FL 33180, James Alexander Los Angeles, CA 90049, Respondents. DECISION Complaint No. CAF010011 Dated: June 14,2005 The Hearing Panel found that branch office manager engaged in manipulative activities, sold unregistered securities,
Reference CAF010011data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/06/2005: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 51974/July6, 2005 Admin. Proc. File No. 3-11627 In the Matter of the Applications of ROBERT J. PRAGER and JAMES ALEXANDER For Review of Disciplinary Action Taken by NASD OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCIPLINARY PROCEEDING Violations of Conduct Rules Aiding and Abetting a Manipulation Failure to Supervise
Reference CAF010021data-portal.finra.org finra.org

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