Violation Tracker Individual Record
NASD fined Hantz Financial Services, Inc., $675,000 for fraud and misrepresentations relating to undisclosed revenue sharing arrangements, as well as other violations.
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).