Nex Systems
Type not stated

FOX FINANCIAL MANAGEMENT CORPORATION

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/11/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement Complainant v. Fox Financial Management Corporation (CRD No. 134277) and James Edward Rooney Jr. (CRD No. 1857754) Respondents DISCIPLINARY PROCEEDING No. 2008011592201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondents Fox Financial Management Corporation ("Fox Financial") and James Edward Rooney Jr. ("Rooney") sold to approximately 200 customers over $13,000,000 in zero coupon bonds secured by

    10/29/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. FOX FINANCIAL MANAGEMENT CORPORATION CRD No. 134277 and JAMES EDWARD ROONEY JR. CRD No. 1857754 Respondents. DISCIPLINARY PROCEEDING No. 2008011592201 Hearing Officer: SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 29, 2010 INTRODUCTION Disciplinary Proceeding No. 2008011592201 was filed on December 11, 2009, by the Department of Enforcement of the Financial Industry Regulatory Authority

    Reference 2008011592201data-portal.finra.orgdata-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    03/09/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. FOX FINANCIAL MANAGEMENT (CRD No. 134277), BRIAN A. MURPHY (CRD No. 4743164), and JAMES E. ROONEY, JR. (CRD No. 1857754), Respondents. Disciplinary Proceeding No. 2012030724101 Hearing Officer-DRS CORPORATION EXTENDED HEARING PANEL DECISION March 9, 2015 Respondents Fox Financial Management Corporation, James E. Rooney, Jr. and Brian A. Murphy violated:

    01/06/2017: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, VS. Fox Financial Management Corporation Carrollton, TX, Brian A. Murphy Frisco, TX, and James E. Rooney, Jr. Carrollton, TX, Respondents. DECISION Complaint No. 2012030724101 Dated: January 6, 2017 FINRA member and its principals failed to record and supervise private securities transactions in which a registered representative participated for compensation.

    Reference 2012030724101data-portal.finra.orgdata-portal.finra.orgfinra.org

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