Nex Systems
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Hattier, Sanford & Reynoir, LLP

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

    09/26/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006003763601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Hattier, Sanford & Reynoir, LLP, Respondent [CRD No. 2148] Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Hattier, Sanford & Reynoir, LLP submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a

    Reference 2006003763601data-portal.finra.orgfinra.org

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