BRIAN KEITH HARDWICK

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/09/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. RED RIVER SECURITIES, LLC (CRD No. 149860), and BRIAN KEITH HARDWICK (CRD No. 4522460), Respondents. Disciplinary Proceeding No. 2013035344201 Hearing Officer-CC EXTENDED HEARING PANEL DECISION February 9, 2017 Respondents sold interests in five oil and gas joint ventures. The Hearing Panel held that joint venture interests are securities and that Respondents fraudulently misrepresented and omitted
07/27/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Red River Securities, LLC, (CRD No. 149860) and Brian Keith Hardwick (CRD No. 4522460), Respondents. DISCIPLINARY PROCEEDING No. 2013035344201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From December 8, 2009 to September 2013 (the "Relevant Period"), almost the entire period of its existence as a FINRA Member Firm, Red River Securities, LLC
Reference 2013035344201data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	4522460

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.