Nex Systems
Type not stated

FREEDOM INVESTORS CORP.

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

    07/31/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant v. Freedom Investors Corp. (CRD No. 23714), Respondent. Disciplinary Proceeding No. 2011025706401 Hearing Officer DMF ORDER ACCEPTING OFFER OF SETTLEMENT Date: 7/31/15 INTRODUCTION Disciplinary Proceeding No. 2011025706401 was filed on August 18, 2014, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) ("Complainant"). Respondent, Freedom Investors Corp.

    01/20/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Freedom Investors Corp. (CRD No. 23714), Respondent. DISCIPLINARY PROCEEDING No. 2011025706401 HEARING OFFICER: DMF ORDER ACCEPTING OFFER OF SETTLEMENT Date: 7/31/15 INTRODUCTION Disciplinary Proceeding No. 2011025706401 was filed on August 18, 2014, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) ("Complainant"). Respondent, Freedom Investors Corp.

    Reference 2011025706401data-portal.finra.orgdata-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/23/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Freedom Investors Corp. (BD No. 23714), Gary Gossett (CRD No. 1939514) Amy Siesennop (CRD No. 2735819) and Joel Blumenschein (CRD No. 1372334), Respondents. Disciplinary Proceeding No. 2010025132201 Hearing Officer - MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 23, 2012 INTRODUCTION Disciplinary Proceeding No. 2010025132201 was filed on September 22, 2011, by the Department of Enforcement of

    Reference 2010025132201data-portal.finra.orgfinra.org

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