Nex Systems
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HARLAN KLEIMAN

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

    06/09/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY FINRA LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012030570702 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Harlan Kleiman, Respondent Registered Principal CRD No. 2546618 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I [or Respondent] submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2012030570702finra.orgdata-portal.finra.org

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