Nex Systems
Person

ERIC BRETON SMITH

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    02/28/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. ERIC BRETON SMITH Limited Registered Representative (CRD No. 2133043), Respondent. Disciplinary Proceeding No. 2010023696901 Hearing Officer MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 28, 2012 INTRODUCTION Disciplinary Proceeding No. 2010023696901 was filed on Novmeber 28, 2011, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).

    Reference 2010023696901data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2133043

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