JESUP & LAMONT SECURITIES CORP.

Regulator action

United States. Named in 4 sanctions listings.

Sanctions and listings4

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/20/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JESUP & LAMONT SECURITIES CORP. (BD NO. 39056), Respondent. DISCIPLINARY PROCEEDING NO. 2007007255603 HEARING OFFICER - ANDREW H. PERKINS ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2007007255603 was filed on April 17, 2009, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Jesup & Lamont Securities
Reference 2007007255603data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/21/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. # 2006005865501 TO: Department of Market Regulation NASD RE: Jesup & Lamont Securities Corp., Respondent Broker-Dealer CRD No. 39056 Pursuant to Rule 9216 of NASD Code of Procedure, Jesup & Lamont Securities Corp. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II
Reference 2006005865501data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/07/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jesup & Lamont Securities Corp. Member (CRD No. 39056) and Robert E. Strong General Securities Principal, Municipal Securities Principal and General Securities Representative (CRD No. 3079588) Respondents. Disciplinary Proceeding No. C04050005 Hearing Officer AHP ORDER ACCEPTING OFFER OF SETTLEMENT OF JESUP & LAMONT SECURITIES CORP. I. INTRODUCTION NASD's Department of Enforcement ("DOE") filed the Complaint in Disciplinary
Reference C04050005finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/07/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JESUP & LAMONT SECURITIES CORP. (CRD No. 39056), Respondent Disciplinary Proceeding No. 2009020539501 Hearing Officer-RSH DEFAULT DECISION October 7, 2010 For failing to respond to a request for information in a timely manner, in violation of Procedural Rule 8210 and Conduct Rule 2010, the Respondent was expelled from
Reference 2009020539501data-portal.finra.org finra.org

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