Nex Systems
Type not stated

HARRY MARTIN LEFKOWITZ

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

    06/11/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. HARRY MARTIN LEFKOWITZ, CRD No. 1454925, Respondent. Disciplinary Proceeding No. 2010021034801 Hearing Officer LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 11, 2012 INTRODUCTION Disciplinary Proceeding No. 2010021034801 was filed on October 14, 2011 (Complaint), by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Harry

    Reference 2010021034801finra.orgdata-portal.finra.org

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