Nex Systems
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HARVEY A. WALL

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

    07/31/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006003714901 TO: Department of Enforcement NASD RE: Capital Markets America, Inc., Respondent Member Firm BD No. 35232 -and- Harvey A. Wall, Respondent Registered Representative CRD No. 2192530 Pursuant to Rule 9216 of the NASD Code of Procedure, Capital Markets America, Inc. (Capital Markets) and Harvey A. Wall (Wall) submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations

    Reference 2006003714901data-portal.finra.orgfinra.org

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