Nex Systems
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BRUCE COLEMAN

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

    11/30/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008012747901 To: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") Re: Hantz Financial Services Inc. CRD No. 46047 Bruce Coleman CRD No. 50684 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Hantz Financial Services Inc. (Hantz Financial) and Bruce Coleman submit this Letter of Acceptance, Waiver and Consent (AWC) for purpose of proposing a settlement of the alleged rule violations

    Reference 2008012747901finra.orgdata-portal.finra.org

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