ERIC J. BROWN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/05/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Eric J. Brown (CRD No. 2203972) Respondent. Disciplinary Proceeding No. E112003006903 Hearing Officer COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Respondent Eric J. Brown ("Brown") (CRD No. 2203972) became registered with NASD in 1992. From on or about May 28, 1999 through the present, Brown has been registered as a general securities registered representative (Series 7) with member firm Prime Capital
06/27/2006: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Eric J. Brown (CRD No. 2203972) Respondent. Disciplinary Proceeding No. E112003006903 Hearing Officer - HP ORDER ACCEPTING OFFER OF SETTLEMENT Date: 6/27/06 INTRODUCTION Disciplinary Proceeding No. E112003006903 was filed on or about December 5, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondent Eric J. Brown ("Brown") or ("Respondent") submitted an Offer of Settlement ("Offer") to Complainant on or about June
Reference E112003006903data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2203972 |
Other names1
Also known as1
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