Nex Systems
Type not stated

HOWARD J. CHALFIN

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/03/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. HOWARD J. CHALFIN (CRD NO. 2284555), Respondent. Disciplinary Proceeding No. E1020040324-01 Hearing Officer - RSH ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 3, 2006 INTRODUCTION Disciplinary Proceeding No. E1020040324-1 was filed on October 7, 2005 by the Department of Enforcement of NASD ("Complainant"). Respondent Howard J. Chalfin ("Respondent") submitted an Offer of Settlement ("Offer") to Complainant, dated December 23,

    Reference E102004032401data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.