Nex Systems
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BARRY SCHWARTZ

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

    01/18/2005: NASD OFFICE OF HEARING OFFICERS MARKET REGULATION DEPARTMENT Complainant, v. BARRY SCHWARTZ (CRD No. 1034556), Respondent. Disciplinary Proceeding No. CMS040104 Hearing Officer - SNB DEFAULT DECISION January 18,2005 Respondent failed to appear for on-the-record testimony, in violation of Rules 8210 and 2110. For failing to appear, he is barred from associating with any NASD member in any capacity. Appearances Matthew Campbell and Jeffrey K. Stith, Rockville, Maryland for Complainant.

    Reference CMS040104data-portal.finra.orgfinra.org

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