Nex Systems
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JOHN H. HERZOG

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

    06/22/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. CE2050013 TO: Department of Enforcement NASD RE: John H. Herzog, Respondent CRD No. 1515035 Pursuant to Rule 9216 of NASD Code of Procedure, Respondent John H. Herzog 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 Respondent alleging

    Reference CE2050013data-portal.finra.orgfinra.org

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