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Violation Tracker Individual Record

Company: Hantz Financial Services, Inc.
Penalty: $675,000
Year: 2005
Date: August 11, 2005
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: NASD fined Hantz Financial Services, Inc., $675,000 for fraud and misrepresentations relating to undisclosed revenue sharing arrangements, as well as other violations.
Level of Government: federal
Action Type: agency action
Agency: Financial Industry Regulatory Authority
Civil or Criminal Case: civil
Source of Data: NASD Fines Hantz Financial $675,000 for Fraud, Misrepresentations Related to Undisclosed Revenue Sharing Arrangements, PR Newswire, August 11, 2005 (via Nexis).
Notes: FINRA is a securities industry self-regulatory body authorized by the federal government. This case was handled by its predecessor, the National Association of Securities Dealers (NASD).
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.