Nex Systems
Person

PAUL JOSEPH BENZ

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/14/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006518901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Paul Benz, Respondent CRD No. 1548330 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Respondent Paul Benz submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if

    Reference 2006006518901data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/14/2005: SECURITIES AND EXCHANGE COMMISSION Washington D.C. SECURITIES AND EXCHANGE ACT OF 1934 Rel. No. 51046 / January 14, 2005 Admin. Proc. File No. 3-11523 In the Matter of the Application of PAUL JOSEPH BENZ c/o H. Thomas Fehn, Esq. Fields, Fehn & Sherwin 11755 WilshireBlvd,# 1500 Los Angeles, CA 90025 For Review of Action Taken by NASD OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - - REVIEW OF DISCIPLINARY

    Reference C01020014data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number1548330

Other names1

Also known as1

PAUL BENZ

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