Nex Systems
Type not stated

Howe Barnes Hoefer and Arnett Inc.

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    03/12/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100215929-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Howe Barnes Hoefer & Arnett, Inc., Respondent Broker-Dealer CRD No. 2240 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Howe Barnes Hoefer & Arnett, Inc. ("HOWE" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2010021592901data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/08/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050033981-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Howe Barnes Hoefer & Aniett, Inc., Respondent Broker-Dealer CRD No. 2240 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Howe Barnes Hoefer & Aniett, Inc. (the ''firm") submits this Letter of

    Reference 2005003398101data-portal.finra.orgfinra.org

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