Nex Systems
Person

RICHARD HORTON III

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

    01/31/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT. v. RICHARD HORTON III (CRD No.2944981), RESPONDENT. DISCIPLINARY PROCEEDING No. 2005003570601 HEARING OFFICER: AWH ORDER ACCEPTING OFFER OF SETTLEMENT DATE: January 31, 2007 INTRODUCTION Disciplinary Proceeding No. 2005003570601 was filed on or about September 28, 2006, by the Department of Enforcement of NASD ("Complainant"). Respondent Richard Horton III ("Horton") submitted an Offer of Settlement ("Offer") to Complainant on

    Reference 2005003570601finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number2944981

Other names1

Also known as1

RICHARD HORTON, III

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