Nex Systems
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Harold Baker

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

    02/10/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050071101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Harold Baker (CRD No. 1164970), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure. I, Harold Baker, submit 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 on the condition that, if

    02/10/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050071101 TO: Department of Enforcement Financial Industry Regulatory Authority (?FINRA") Ri? Harold Baker (CRD No. 1164970), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure. I, Haro d Baker, submit this Letter ofAcceptance, Waiver and Consent (?AWC-) for the purpose o proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if ac

    Reference 2016050071101data-portal.finra.orgdata-portal.finra.orgfinra.org

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