Nex Systems
Type not stated

HARVEY M. SCHWARTZ

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

    11/16/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. HARVEY M. SCHWARTZ (CRD No. 4301325) Respondent. Disciplinary Proceeding No. E102004083703 Hearing Officer - SNB HEARING PANEL DECISION November 16, 2007 Respondent violated Rules 2110 and 3110 by falsely representing in firm records that six customers were disabled, in order to obtain waivers of sales charges that otherwise would be imposed upon their sale of certain Class B mutual fund shares. For

    Reference E102004083703finra.orgdata-portal.finra.org

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