Nex Systems
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HARVEY LATZEN

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

    05/31/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E102005014702 TO: Department of Enforcement NASD RE: Fordham Financial Management, Inc., Respondent (BD No. 20996) -and- Harvey Latzen, Respondent (CRD No. 709950) Pursuant to Rule 9216 of NASD Code of Procedure, Fordham Financial Management, Inc. ("Fordham") and Harvey Latzen ("Latzen") (collectively, "Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference E102005014702data-portal.finra.orgfinra.org

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