Nex Systems
Type not stated

Harold E. Klein

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/15/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, W AIYER, AND CONSENT NO. 2021071463401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Harold E. Klein (Respondent) General Securities Principal and General Securities Representative CRDNo.1021759 Pursuant to FINRA Rule 9216, Respondent Harold E. Klein submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2021071463401data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.