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.
Parent company note: 
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.