Nex Systems
Type not stated

HARLAN H. KAPPEL

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

    05/22/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006004191101 TO: Department of Enforcement NASD RE: Harlan H. Kappel, Respondent General Securities Representative CRD No. 2844112 Pursuant to Rule 9216 of NASD Code of Procedure, I 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 is submitted on the condition that, if accepted, NASD will not bring any future actions against

    Reference 2006004191101finra.orgdata-portal.finra.org

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