Nex Systems
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Brandon Lopez

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

    10/15/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062365501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brandon Lopez (Respondent) Former Associated Person CRD No. 6823291 Pursuant to FINRA Rule 9216, Respondent Brandon Lopez submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted,

    Reference 2019062365501data-portal.finra.orgfinra.org

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