Nex Systems
Person

RICHARD MARTIN OHLHABER

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

    01/27/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Richard Martin Ohlhaber, CRD No. 2154794, Respondent. Disciplinary Proceeding No. 2012032077901 Hearing Officer: MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 27, 2014 INTRODUCTION Disciplinary Proceeding No. 2012032077901 was filed on June 6, 2012, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Richard Martin

    Reference 2012032077901data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2154794

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