Nex Systems
Person

BRIAN BROCK REID

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

    09/21/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045133201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brian Brock Reid, Respondent CRD No. 4620232 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Brian Brock Reid ("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

    Reference 2015045133201data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4620232

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