Nex Systems
Type not stated

HLM SECURITIES INC.

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

    04/03/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120348226 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Terrance R. Hennessy, Respondent Former Registered Representative and Principal CRD No. 1072712 HLM Securities, Inc. CRD No. 133216 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents submit this Letter of Acceptance, Waiver and Consent (“AWC") for the purpose of proposing a settlement of the

    Reference 2012034822601finra.orgdata-portal.finra.org

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