Nex Systems
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HAROLD WILSON

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

    04/09/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. HAROLD WILSON (CRD No. 4921047), Respondent. Disciplinary Proceeding No. 2011026683601 Hearing Officer - RSH DEFAULT DECISION April 9, 2012 Respondent was barred from associating with any FINRA-regulated firm in any capacity for violating Rules 8210 and 2010 by failing to respond to requests for information. In light of the bar, no additional sanctions were imposed for the Respondent's private

    Reference 2011026683601data-portal.finra.orgfinra.org

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