Nex Systems
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ARTHUR BOOZE

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

    09/19/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Arthur Booze Respondent, CRD No. 2570386 Respondent. Disciplinary Proceeding No. E8A2003032203 Hearing Officer- AWH ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 19, 2005 INTRODUCTION Disciplinary Proceeding No. C8A050029 was filed on May 13, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondent Booze submitted an Offer of Settlement ("Offer") to Complainant on September 2, 2005. Pursuant to Code of

    05/13/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Arthur Booze CRD No. 2570386 Respondent. Disciplinary Proceeding No. C8A050029 Hearing Officer COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Between October 2000 and December 2002, Respondent Arthur Booze was registered with Banc One Securities, Inc., a member of NASD. Respondent Booze was thereafter continuously registered with other members of NASD from February 2003 until September 2004. As a result

    Reference E8A2003032203data-portal.finra.orgdata-portal.finra.orgfinra.org

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