Nex Systems
Type not stated

DOUGLAS K. HAAS

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

    04/14/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant V. DOUGLAS K. HAAS (CRD No. 2424725), Respondent. Disciplinary Proceeding No. 2007011016301 Hearing Officer - MC DEFAULT DECISION April 14, 2010 Respondent is suspended from associating with any FINRA member firm in any capacity for two years, and fined $15,000, for borrowing funds from customers, in violation of Conduct Rules 2110 and 2370. Appearances Heather Hawker, Senior Regional Counsel, Denver,

    Reference 2007011016301data-portal.finra.orgfinra.org

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