SHERWIN P. BROWN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/29/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Disciplinary Proceeding Complainant, v. SHERWIN P. BROWN (CRD No. 1842423), Respondent. No. C04050026 Hearing Officer - SW DEFAULT DECISION November 29, 2005 Respondent violated NASD Procedural Rule 8210 and Conduct Rule 2110 when he failed to respond to the NASD staff's requests for information and failed to appear for an on-the-record interview. Respondent is barred from associating with any member firm in any capacity for the violations.
Reference C04050026finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1842423 |
Other names1
Also known as1
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