Nex Systems
Person

THOMAS EARL BRAND

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/19/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2608013307301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Thomas Earl Brand, Respondent CRD No. 1924829 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Thomas Earl Brand ("Brand" or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2008013307301data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number1924829

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