BRIAN K NELSON

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/20/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012033167601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brian K. Nelson, Respondent Former Registered Representative CRD No. 5433967 Pursuant to FINRA Rule 9216 ofFINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is
Reference 2012033167601finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	5433967

Other names1

Also known as1

BRIAN K. NELSON

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