SHANNON BRAYMEN

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/26/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025610501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Braymen, Lambert and Noel Securities, Ltd., Respondent Member Firm CRD No. 124902 Shannon Braymen, Respondent General Securities Principal CRD No. 2099783 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Braymen, Lambert and Noel Securities, Ltd. ("BLNS") and Shannon Braymen ("Braymen") (collectively, Respondents)
Reference 2011025610501data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/10/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043464401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Shannon Braymen ("Braymen") Former General Securities Principal Former Financial and Operations Principal CRD No. 2099783 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure Shannon Braymen ("Braymen" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a
Reference 2015043464401finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2099783

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