Nex Systems
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Brandon Rolle

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

    05/15/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063140001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brandon Rolle, Respondent General Securities Representative and Research Analyst CRD No. 6097706 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Brandon Rolle ("Rolle" or "Respondent") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2019063140001data-portal.finra.orgfinra.org

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