Nex Systems
Type not stated

HARVEST CAPITAL INVESTMENTS LLC

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

    10/06/2008: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Harvest Capital Investments, LLC Vienna, VA, and Dennis Cotto Vienna, VA, Respondents. DECISION Complaint No, 2005001305701, Dated: October 6, 2008 Cotto functioned in a principal capacity without being registered; respondents failed to respond completely to written requests for

    09/27/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITYS OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. HARVEST CAPITAL INVESTMENTS, LLC (CRD No. 40367), and DENNIS COTTO (CRD No. 3047293), Respondents. Disciplinary Proceeding No. 2005001305701 Hearing Panel Decision and Order Granting, In Part, Complainant's Motion for Summary Disposition Hearing Officer-SW Dated: September 27, 2007

    Reference 2005001305701data-portal.finra.orgdata-portal.finra.orgfinra.org

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