Nex Systems
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Harold A. Schwartz

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

    11/21/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061715601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Harold A. Schwartz, Respondent General Securities Representative and General Securities Principal CRD No. 841225 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Harold A. Schwartz submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2019061715601finra.orgdata-portal.finra.org

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