BRIAN SCOTT EXFORD
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/03/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039843401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brian Scott Exford (CRD 4547460), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Brian Scott Exford ("Exford" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2014039843401data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4547460 |
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