BRIAN SIMONE

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/14/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110289642 01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brian Simone, Respondent General Securities Representative CRD No. 5357610 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Brian Simone ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This
Reference 2011028964201data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/09/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Brian Simone, CRD No. 5357610, Respondent. Disciplinary Proceeding No. 2008016024701 Hearing Officer: Andrew H. Perkins ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 6, 2011 INTRODUCTION Disciplinary Proceeding No. 2008016024701 was filed on October 13, 2010, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Brian Simone submitted
Reference 2008016024701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5357610

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