Nex Systems
Type not stated

CERTES CAPITAL SECURITIES LLC

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/23/2006: NASD OFFICE OF HEARING OFFICER Department of Enforcement, Complainant, v. CERTES CAPITAL SECURITIES, LLC (CRD No. 124392), JAMES KOZAK (CRD No. 2237880), DEAN HEDEKER (CRD No. 2068563) Respondents. Disciplinary Proceeding No. C8A050023 Hearing Officer Alan W. Heifetz ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 23, 2006 INTRODUCTION Disciplinary Proceeding No. C8A0050023 was filed on April 18, 2005, by the

    Reference C8A050023data-portal.finra.orgfinra.org

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.