Nex Systems
Person

STEVEN FRANKLIN BRACY

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

    11/13/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, Steven Franklin Bracy (CRD No. 1504678), Respondent. DISCIPLINARY PROCEEDING No. 2013036701401 Hearing Officer - MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 13, 2013 INTRODUCTION Disciplinary Proceeding No. 2013036701401 was filed on September 17, 2013, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Steven Frank

    Reference 2013036701401data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number1504678

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