Nex Systems
Type not stated

HARRIS INVESTOR SERVICES INC.

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

    01/09/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 200801462071 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Harris Investor Services, Inc., Respondent Member Firm BD No. 137115 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent 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

    Reference 2008014620701data-portal.finra.orgfinra.org

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