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May 16, 2012

FINRA Fines and Suspends Harrison Hatzis, Hallandale, FL

The following information is from FINRA’s website under, “Disciplinary and Other FINRA Actions, May, 2012.”

Harrison A. Hatzis (CRD #2640978, Registered Principal, Hallandale, Florida)

was fined $30,000 and suspended from association with any FINRA member in any capacity for two years.

The NAC imposed the sanctions following appeal of an Office of Hearing Officers (OHO) decision. The sanctions were based on findings that Hatzis provided incomplete and inaccurate information concerning his firm’s application for FINRA membership and misled FINRA.

This ends the information from FINRA’s website.

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