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PHX Financial Inc. a securities broker dealer headquartered in New York New York and Robert Delaplain (branch supervisor and Chief Compliance Officer) have been censured and fined by Financial Industry Regulatory Authority (FINRA) supported by findings that PHX and Delaplain neglected to supervise stockbrokers who effected unsuitable transactions in customer accounts. Letter of Acceptance Waiver…

Halil Kozi (also known as Hal Kozi) of New York New York a stockbroker formerly registered with PHX Financial Inc. has been suspended for two years from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to an Office of Hearing Officers Order Accepting Offer of Settlement containing findings that the…

Halil Kozi (also known as Hal Kozi) of New York New York a stockbroker, options trader and supervisor formerly registered with PHX Financial Inc. has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that (1) Kozi recommended bad trades to a customer of PHX and (2) Kozi churned…