Nex Systems
Type not stated

JED P. KAPLAN

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

    02/09/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007007150401 Department of Enforcement Financial Industry Regulatory Authority ("FINRA") LF Financial, LLC, Respondent Member Firm CRD No.33619 Jed P. Kaplan, Respondent General Securities Representative CRD No. 1622929 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2007007150401data-portal.finra.orgfinra.org

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