Nex Systems
Type not stated

HANTZ FINANCIAL SERVICES INC.

Regulator action

United States. Named in 3 sanctions listings.

Screen this subject

Sanctions and listings3

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/31/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120316558 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Hantz Financial Services, lnc., Respondent CRD 46047 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits 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

    Reference 2012031655801finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/11/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. EAF-0400060001 RE: Hantz Financial Services, Inc., Respondent (CRD No. 46047) John Hantz, Respondent (CRD No. 1462066) Pursuant to Rule 9216 of NASD's Code of Procedure, Respondents Hantz Financial Services, Inc. ("HFS" or the "firm") and John Hantz ("Hantz") (collectively, "Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC

    Reference EAF0400060001data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/30/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008012747901 To: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") Re: Hantz Financial Services Inc. CRD No. 46047 Bruce Coleman CRD No. 50684 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Hantz Financial Services Inc. (Hantz Financial) and Bruce Coleman submit this Letter of Acceptance, Waiver and Consent (AWC) for purpose of proposing a settlement of the alleged rule violations

    Reference 2008012747901finra.orgdata-portal.finra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.