Nex Systems
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Farrukh S. Kazmi

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

    08/01/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. FARRUKH S. KAZMI (CRD NO. 2855915), Respondent. DISCIPLINARY PROCEEDING NO. 2014039169602 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between October 2010 and October 2014, while registered with Berthel, Fisher & Co. Financial Services, Inc. ("Berthel Fisher"), the Respondent, Farrukh Kazmi, regularly used instant messaging and text messaging to communicate with

    03/22/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, V. FARRUKH S. KAZMI (CRD NO. 2855915), RESPONDENT. Disciplinary Proceeding No. 2014039169602 Hearing Officer Campbell ORDER ACCEPTING OFFER OF SETTLEMENT Date: March 22, 2019 INTRODUCTION Disciplinary Proceeding No. 2014039169602 was filed on August 1, 2017, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)

    Reference 2014039169602data-portal.finra.orgdata-portal.finra.orgfinra.org

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