Nex Systems
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BRUCE KATZ

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

    11/04/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BRUCE KATZ (CRD No. 1234370), Respondent. Disciplinary Proceeding NO. 2009018906501 Hearing Officer - RSH ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 4, 2011 INTRODUCTION Disciplinary Proceeding No. 2009018906501 was filed on July 29, 2011, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Bruce Katz submitted an Offer of

    Reference 2009018906501data-portal.finra.orgfinra.org

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