Tag Archives: Halil Kozi

PHX Sanctioned By FINRA For Failure To Supervise

January 03, 2021  |   Posted by :   |   Boilerroom Sales, Failure To Supervise, Investment and Regulatory News   |   Comments Off on PHX Sanctioned By FINRA For Failure To Supervise

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 […]

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PHX Financial Stockbroker Sanctioned For Vicious Churning

March 26, 2020  |   Posted by :   |   Churning, Excessive Trading   |   Comments Off on PHX Financial Stockbroker Sanctioned For Vicious Churning

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 […]

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FINRA Charges PHX Stockbroker With Churning

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 […]

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