Nex Systems
Person

STEVEN VINCENT HAZARD

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

    01/09/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. STEVEN VINCENT HAZARD (CRD No. 2648419), Hazard. Disciplinary Proceeding No.2009018165601 Hearing Officer-Andrew H. Perkins DEFAULT DECISION January 9, 2012 Hazard is barred from associating with any FINRA registered firm in any capacity for borrowing money from his customers, in violation of NASD Conduct Rules 2370 and

    Reference 2009018165601data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2648419

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