Nex Systems
Type not stated

HOWE BARNES INVESTMENTS 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

    11/14/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E8A2004017001 TO: Department of Enforcement NASD RE: Howe Barnes Investments, Inc. (CRD No. 2240) Pursuant to Rule 9216 of NASD Code of Procedure, Howe Barnes Investments, Inc. ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me

    Reference E8A2004017001data-portal.finra.orgfinra.org

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