Nex Systems
Person

STEVEN ALAN HORWITZ

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    07/24/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Steven A. Horwitz (CRD No. 710899), Respondent. Disciplinary Proceeding No. 2016050312401 Hearing Officer: RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 24, 2018 INTRODUCTION Disciplinary Proceeding No. 2016050312401 was filed on January 5, 2018, by the Department of Enforcement of the Financial Industry

    01/05/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Steven A. Horwitz (CRD No. 710899), Respondent. Disciplinary Proceeding No. 2016050312401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. While registered with Westminster Financial Securities (“Westminster” or “the Firm”), Respondent Steven A. Horwitz failed to amend his Uniform Application for Securities Registration (“Form U4”) to disclose his May 2012 indictment and May

    Reference 2016050312401data-portal.finra.orgdata-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number710899

Other names1

Also known as1

Steven A. Horwitz

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.