Nex Systems
Type not stated

HARBOR FINANCIAL SERVICES LLC

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

    04/16/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010020893401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Harbor Financial Services, LLC, Respondent Member CRD No. 25700 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Harbor Financial Services, LLC ("Harbor" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

    Reference 2010020893401data-portal.finra.orgfinra.org

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