Proceeding Number 20090209629-01

Hearing Panel Decision in Department of Enforcement v. Jason Blum

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 from associating in any capacity with any FINRA-registered firm for 20 business days and fined $10,000. Respondent is also ordered to pay costs.

 

This decision has been appealed.

View Decision (PDF 165 KB)