Nex Systems
Person

BRIAN SCOTT 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

    02/13/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. BRIAN SCOTT BROWN (CRD No. 4674731), Respondent. Disciplinary Proceeding No. 2008013493101 Hearing Officer -RSH DEFAULT DECISION February 13, 2009 The Respondent violated Conduct Rule 2110 and Procedural Rule 8210 by failing to respond to requests for information, and violated Conduct Rule 2110 by failing to report multiple

    Reference 2008013493101data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4674731

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