Violation Tracker Individual Record
: Hantz Financial Services, Inc.
: August 11, 2005
: financial offenses
: investor protection violation
: 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
: agency action
: Financial Industry Regulatory Authority
Civil or Criminal Case
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).
: 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).
: 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