BRIAN JAMES DUNN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/07/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. BRIAN JAMES DUNN (CRD No. 3056636) Respondent. Disciplinary Proceeding No. 2006004809201 Hearing Officer - AWH DEFAULT DECISION May 7, 2007 Formerly registered representative falsified firm expense reports and received payment for those expenses, in violation of NASD Conduct Rule 2110, and failed to respond to NASD staff requests for information, in violation of Procedural Rule 8210 and Conduct Rule 2110. Respondent barred for both
Reference 2006004809201data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3056636 |
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