Bryan Stuart Kocen
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/28/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024082083001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bryan Stuart Kocen (Respondent) General Securities Principal CRD No. 2119036 Pursuant to FINRA Rule 9216, Respondent Bryan Stuart Kocen submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2024082083001data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2119036 |
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