Nex Systems
Type not stated

PHX Financial Inc.

Financial crime

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Securities and Exchange CommissionUS SEC Actions Due to Harmed InvestorsUnited States

    sec.govsec.gov

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/18/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016048921103 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: PHX Financial, Inc. (Respondent) Member Firm CRD No. 144403 Robert Delaplain (Respondent) General Securities Principal CRD No. 1017107 Pursuant to FINRA Rule 9216, Respondents PHX Financial, Inc. (PHX) and Robert Delaplain submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the

    Reference 2016048921103data-portal.finra.orgfinra.org

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