Nex Systems
Type not stated

ALEXANDER P. BROWN III

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

    07/22/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047883501 TO: Department of Enforcement Financial lndustry Regulatory Authority ("FINRA") RE: Alexander P. Brown, III (CRD No. 31944) General Securities Representative Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Alexander P. Brown, III ("Brown" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2015047883501data-portal.finra.orgfinra.org

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