Nex Systems
Type not stated

BARRON MOORE INC

Regulator action

United States. Named in 2 sanctions listings.

Screen this subject

Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    07/21/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. BARRON MOORE, INC. (CRD No. 123521), MIDAS SECURITIES, LLC (CRD No. 103680), WORLD TRADE FINANCIAL CORPORATION (CRD No. 42638), JASON TROY ADAMS (CRD No. 2137404) FRANK EDWARD BRICKELL (CRD No. 3257725), PATRICK FRANCIS HARTE, JR. (CRD No. 1865650), WILLIAM E. KASSAR, JR. (CRD No. 2245223), JAY S. LEE (CRD No. 4338187), RODNEY PRESTON MICHEL (CRD No. 1275392), AND KATHERINE ANN MOORE

    Reference 2005000075703data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    07/23/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT COMPLAINANT v. BARRON MOORE, INC. CRD NO. 123521 AND KATHERTNE ANN MOORE CRD NO. 1342145 AND PATRICK FRANCIS HARTE JR. CRD No. 1865650 RESPONDENTS DISCIPLINARY PROCEEDING NO. 2006003672401 Hearing Officer: LBB ORDER ACCEPTING OFFERS OF SETTLEMENT BY BARRON MOORE, INC AND KATHERINE ANN MOORE INTRODUCTION Disciplinary Proceeding No. 2006003672401 was filed on June 20, 2008, by the Department of Enforcement of

    Reference 2006003672401data-portal.finra.orgfinra.org

Other names1

Also known as1

BARRON MOORE INC.

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.