BRIAN HORNE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/14/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. INVESTMENT MANAGEMENT CORPORATION (CRD No. 37196) KEVIN KUNZ (CRD No. 1274540) BRIAN HORNE (CRD No. 1830136), RESPONDENTS. DISCIPLINARY PROCEEDING No. 2005000960301 HEARING OFFICER: LAWRENCE B. BERNARD ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 200500960301 was filed on January 19, 2007, by the Department of Enforcement of the Financial industry
Reference 2005000960301data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1830136 |
Other names1
Also known as1
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