BRETT E BACKERMAN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/14/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010021972501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brett E. Backerman Respondent Registered Employee CRD No. 5261603 Pursuant to Rule 9216 of FINRA Code of Procedure, I, Brett E. Backerman ("Backerman"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on
Reference 2010021972501data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5261603

Other names1

Also known as1

BRETT E. BACKERMAN

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