BRIAN H. BRUNHAVER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/11/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Brian H. Brunhaver (CRD No. 2498928, Respondent DISCIPLINARY PROCEEDING No. 2011026852001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Brian H. Brunhaver used an unauthorized e-mail account for communications related to his securities business and made oral and written misrepresentations to customers regarding a non-traded REIT. RESPONDENT AND JURISDICTION 2. Brian H.
05/14/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BRIAN H. BRUNHAVER (CRD No. 2498928), Respondent. Disciplinary Proceeding No. 2011026852001 Hearing Officer - MC DEFAULT DECISION May 14, 2014 Respondent is barred from associating with any FINRA member firm in any capacity for using an unauthorized e-mail account for communications with the public related to his securities business, in violation of NASD Rule 2110 and FINRA Rule 2010. He is also
Reference 2011026852001data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2498928 |
Other names1
Also known as1
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