MICHAEL F. BRINLEE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/23/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. MICHAEL F. BRINLEE, Registered Representative (CRD No. 852723) Respondent. Disciplinary Proceeding No. 2005001575201 Hearing Officer COMPLAINT The Department of Enforcement ("Department") alleges: 1. Between July 1992 and January 2005, Michael F. Brinlee ("Brinlee") was registered as a General Securities Principal, a Municipal Securities Principal, and a
07/12/2007: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Michael F. Brinlee, CRD No. 852723 Respondent. Disciplinary Proceeding No. 2005001575201 Hearing Officer - DRP ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 12,2007 INTRODUCTION Disciplinary Proceeding No. 2005001575201 was filed on May 23, 2007, by the Department of Enforcement of NASD ("Complainant"). Respondent Michael F. Brinlee submitted an Offer
Reference 2005001575201data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 852723 |
Other names1
Also known as1
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