Nex Systems
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GREGORY E. HAFEN

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

    07/21/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090167090 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Gregory E. Hafen, Respondent Limited Registered Principal (CRD No. 4312542) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Gregory E. Hafen, 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

    Reference 2009016709011data-portal.finra.orgfinra.org

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