Nex Systems
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JOHN HANTZ

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

    08/11/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. EAF-0400060001 RE: Hantz Financial Services, Inc., Respondent (CRD No. 46047) John Hantz, Respondent (CRD No. 1462066) Pursuant to Rule 9216 of NASD's Code of Procedure, Respondents Hantz Financial Services, Inc. ("HFS" or the "firm") and John Hantz ("Hantz") (collectively, "Respondents") submit 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

    Reference EAF0400060001data-portal.finra.orgfinra.org

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