Nex Systems
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Barry Hallman

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

    08/10/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060262801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Barry Hallman, Respondent Former Non-Registered Associated Person CRD No. 6618538 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Barry Hallman (“Hallman”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2018060262801finra.orgdata-portal.finra.org

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