Nex Systems
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JASON BLUM

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

    12/12/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JASON BLUM (CRD No. 5184761), Respondent. Disciplinary Proceeding No. 20090209629-01 Hearing Officer - RLP HEARING PANEL DECISION December 12, 2013 For violating NASD Rule 1021(a) and FINRA Rule 2010, by actively engaging in the management of the investment banking and securities business of a FINRA member firm without being registered as a principal, Respondent is suspended

    Reference 2009020962901data-portal.finra.orgfinra.org

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