Nex Systems
Person

BRENDA A. SMITH

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

    01/09/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034900402 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brenda A. Smith (CRD No. 4348518), Respondent Pursuant to FINRA's Code of Procedure, I Brenda A. Smith ("Smith" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2012034900402finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number4348518

Other names1

Also known as1

BRENDA ANN SMITH

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