Nex Systems
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Harold S. Pomeranz

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

    03/01/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049938201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Harold S. Pomeranz CRD No. 365461 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Harold S. Pomeranz submits 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 accepted,

    Reference 2016049938201data-portal.finra.orgfinra.org

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