Nex Systems
Type not stated

BRADLEY l. JAFFE

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

    08/05/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070076782-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Trillium Brokerage Services, LLC, f/k/a Trillium Trading LLC, Respondent Broker-Dealer CRD No. 120064 Daniel J. Balber, Respondent Registered Principal CRD No. 2582111 Brian M. Gutbrod, Respondent Registered Representative CRD No. 4568387 James P. Hochleulner, Respondent Registered Representative and

    Reference 2007007678201finra.orgdata-portal.finra.org

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