Legal Action: PHX Financial, INC., a.k.a Blackwall Capital

Legal Action: PHX Financial, INC., a.k.a Blackwall Capital

2015 PHX Financial, INC., a.k.a Blackwall Capital, a Montana licensed broker-dealer; William Horbatuk, JR., individually and in his capacity as a salesperson for PHX Financial, Inc.; Halil Kozi, a PHX Financial, Inc. employee and Registered Options and Security Futures Principal; Robert Delaplain, a PHX Financial, Inc. employee and Chief Compliance Officer; Kevin Chen, PHX Financial, Inc.’s Chief Executive Officer; and Kenneth Williams, a PHX Financial, Inc. employee Notice of Proposed Agency Action and Opportunity for Hearing