Nex Systems
Person

HORUS RIVER BROWN

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

    02/05/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. HORUS RIVER BROWN (CRD No. 3269819), Respondent. Disciplinary Proceeding No. 2008013380501 Hearing Officer - MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 5, 2010 INTRODUCTION Disciplinary Proceeding No. 2008013380501 was filed on November 3, 2009, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)

    Reference 2008013380501data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number3269819

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