Nex Systems
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HOWE BARNES HOEFER & ARNETT INC.

Regulator action

United States. Named in 3 sanctions listings.

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Sanctions and listings3

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    03/24/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070118356-01 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 2007011835601data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/16/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT N0. 20080123679-04 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, 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 rule violations

    Reference 2008012367904data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/20/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT N0 20080161568-01 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

    Reference 2008016156801finra.orgdata-portal.finra.org

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