Nex Systems
Person

BRIAN DOUGLAS ANDERSON

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/16/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007010981201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brian Douglas Anderson (CRD No. 2283955) Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Brian Douglas Anderson ("Anderson" or "Respondent") submits 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 2007010981201finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number2283955

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.