Nex Systems
Type not stated

John Martin Harmon

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

    02/05/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061378001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Martin Harman, Respondent Former General Securities Representative CRD No. 4763429 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent John Martin Harman submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2019061378001data-portal.finra.orgfinra.org

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