Nex Systems
Type not stated

BEREAN CAPITAL INCORPORATED

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

    12/27/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E8A2004001301 TO: Department of Enforcement NASD Re: Berean Capital Incorporated ("Berean") (CRD No. 24915) and Dudley Brown, Jr. General Securities Principal (CRD No. 1344090) Pursuant to Rule 9216 of NASD Code of Procedure, Berean Capital Incorporated ("Respondent" or "Berean") and Dudley Brown, Jr. ("Respondent" or "Brown") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference E8A2004001301data-portal.finra.orgfinra.org

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