Nex Systems
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HARRISON A. HATZIS

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

    03/02/2012: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Harrison A. Hatzis Hallandale, FL, Respondent. DECISION Complaint No. 20060051788-01 Dated: March 2, 2012 Respondent provided incomplete and inaccurate information and misled FINRA staff when his firm applied for FINRA membership. Held, findings affirmed, in part, and sanction modified. Appearances For the Complainant: Leo F. Orenstein, Esq., Elissa Meth Kestin, Esq.,

    03/22/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. HARRISON A. HATZIS (CRD No. 2640978), Respondent. Disciplinary Proceeding No. 20060051788-01 Hearing Officer - MAD HEARING PANEL DECISION March 22, 2010 Respondent violated Membership and Registration Rule 1013, Conduct Rule 2110, and IM-1000-1 by providing inaccurate, incomplete, and misleading information to FINRA during the membership application process. For this violation, Respondent is barred

    Reference 2006005178801data-portal.finra.orgdata-portal.finra.orgfinra.org

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