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Financial Sanction Search



ChoicePoint has conducted a search through the MIDEX Database with the following reported results:

MIDEX Database Report

The information reported below was found under the name John Doe. The MIDEX database does not contain any other identifying data such as a date of birth. We are only providing this information to you for your further review and you should not base your employment decision solely on this information without additional verification.


Searched Name:

DOE, JOHN
Source Document: NASD
Source: NASD
Date: 06/10/99
Case Number: 00-00000
Jurisdiction: NASD
Other Incident Info: CASE NAME: JACK AND JILL DOE, CLAIMANTS, VS. JOHN DOE AND DAVID DOE, RESPONDENTS

The individual(s) or company(ies) listed in this report were party to a National Association of Securities Dealers (NASD) arbitration award. Being party to the arbitration award does not necessarily mean that the individual(s) or company(ies) have been found to have violated any code or regulation.

Action: NASD ARBITRATION

Searched Name:

DOE, JOHN ROBERT
LOS ANGELES, CA
Source Document:
SEC PLAD DATABASE(SEC LAPB: VOL 00, NO. 0, P. 000)
Source: PLAD
Date: 04/13/90
Jurisdiction: CALIFORNIA
Alleged Offense (s): RESPONDENT VIOLATED SECT. 25242(C)(1) OF THE CALIFORNIA CORPORATIONS CODE.
Other Incident Info: ACTION TYPE: ADMINISTRATIVE (STATE)
PLAD FILE NO. AA0A000000
Action: REVOKED
Other Info: D/B/A DOE, JOHN ROBERT


  

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