Nex Systems
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HIGHLAND FINANCIAL LTD.

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

    07/19/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Highland Financial, Ltd. (CRD No. 25896), and Gordon D. Smith (CRD No. 2006592), Respondents. DISCIPLINARY PROCEEDING NO. 2011025591601 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Highland Financial, Ltd., acting through Respondent Gordon D. Smith, failed to file timely a Currency Transaction Report (CTR) upon receipt from a customer of two cash deposits totaling $39,780

    09/27/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. HIGHLAND FINANCIAL, LTD. (CRD No. 25896) and GORDON D. SMITH (CRD No. 2006592), Disciplinary Proceeding No. 2011025591601 Hearing Officer - RLP HEARING PANEL DECISION September 27, 2013 By (i) failing to timely file currency transaction reports, Highland Financial, Ltd., through Gordon D. Smith, violated Exchange Act Section 17(a) and Rule 17a-8 and FINRA Rule 2010, and Smith violated FINRA Rule

    Reference 2011025591601data-portal.finra.orgdata-portal.finra.orgfinra.org

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