Nex Systems
Type not stated

JOEL E. MOSKOWITZ

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

    06/03/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. JOEL E. MOSKOWTTZ (CRD No. 500460), Respondent. Disciplinary Proceeding No. C9B040093 Hearing Officer – DMF HEARING PANEL DECISION June 3, 2005 Summary Respondent disseminated and attempted to disseminate options communications to the public without obtaining advance approval from his employer firm and NASD, in violation of Rules 2220 and 2110, and such

    Reference C9B040093data-portal.finra.orgfinra.org

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