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Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stan Schuldiner, Jr. (Claimant) v. J.B. Oxford & Company (Respondent) Case Number: 03-03848 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant Stan Schuldiner hereinafter referred to as "Claimant" appeared pro se, assisted by his brother, Neil Schuldiner. Respondent J.B. Oxford & Company hereinafter referred to as "Re

2018059733101 Clyde Anthony Jensen CRD 5658476 Complaint jlg (2021-1617841202238).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Clyde Anthony Jensen CRD No. 5658476, Respondent. Disciplinary Proceeding No. 2018059733101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Clyde Jensen was the broker of record for several accounts held by Customer J, a widow who, during the relevant period, was in her 90s. In March 2017, Jensen told his firm that Customer J wanted to name Jensen the beneficiary
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