Nex Systems
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JANE KORNBLUT

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

    03/14/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jane Kornblut Registered Principal CRD No. 731026 Respondent. Disciplinary Proceeding No. C8A040047 Hearing Officer DRP ORDER ACCEPTING OFFER OF SETTLEMENT Date: March 14, 2005 INTRODUCTION Disciplinary Proceeding No. C8A040047 was filed on June 14, 2004, by the Department of Enforcement of NASD ("Complainant"). Respondent Jane Kornblut submitted an

    Reference C8A040047finra.orgdata-portal.finra.org

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