Nex Systems
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Halil Kozi

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

    03/17/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Halil Kozi (CRD No. 1121714), Respondent. Disciplinary Proceeding No. 2016048921102 Hearing Officer-DDM ORDER ACCEPTING OFFER OF SETTLEMENT Date: March 17, 2020 INTRODUCTION Disciplinary Proceeding No. 2016048921102 was filed on September 17, 2019 by the

    09/17/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Halil Kozi (CRD No. 1121714) Respondent. DISCIPLINARY PROCEEDING No. 2016048921102 COMPLAINT The Department of Enforcement ("Enforcement") alleges: SUMMARY 1. From June 2013 through February 2015 (the "Relevant Period"), while associated with FINRA-member PHX Financial, Inc. ("PHX" or the "Firm"), Respondent Halil

    Reference 2016048921102data-portal.finra.orgfinra.orgdata-portal.finra.org

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