Nex Systems
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DANIEL L. KURTZ

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

    10/13/2010: L INDUSTRY REGULATORY AUTHORITY (FINRA) ER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090206183 To: Department of Enforcement FINRA Re: Daniel L. Kurtz Investment Company and Variable Contracts Products Representative CRD No. 4894211 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Daniel L. Kurtz, submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if

    Reference 2009020618301data-portal.finra.orgfinra.org

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