BRIAN MICHAEL WHITE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/15/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Brian Michael White (CRD No. 5126711), Respondent. DISCIPLINARY PROCEEDING No. 2012033128703 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From August 2010 through at least May 2011, Brian White ("White"), at the time a registered representative at AXA Advisors, LLC ("AXA" or the "Firm"), along with two other AXA registered representatives, engaged in an
06/30/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BRIAN MICHAEL WHITE (CRD No. 5126711), Respondent. Disciplinary Proceeding No. 2012033128703 Hearing Officer-DRS HEARING PANEL DECISION June 30, 2015 Respondent Brian Michael White: (1) engaged in undisclosed outside business activities in violation of NASD Rule 3030 and FINRA Rules 3270 and 2010; (2) participated in an undisclosed private securities transaction in violation
Reference 2012033128703data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	5126711

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