BRYAN DARRELL OLIPHANT

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/31/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006005401901 TO: Department of Enforcement NASD RE: Bryan Oliphant CRD No. 2745180 Pursuant to Rule 9216 of NASD Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me alleging violations based on the same factual findings. I
Reference 2006005401901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2745180

Other names1

Also known as1

BRYAN OLIPHANT

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