Nex Systems
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HAROLD K. COHEN

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

    04/18/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009018628401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: HKC Securities, Inc., n.k.a. ACGM, Inc., Respondent CRD No. 29705 Harold K. Cohen, Respondent CRD No. 49888 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, HKC Securities, Inc. n.k.a. ACGM, lnc. ("Firm"), and Harold K. Cohen ("Cohen") (collectively "Respondents") submit this Letter of Acceptance, Waiver

    Reference 2009018628401finra.orgdata-portal.finra.org

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