Nex Systems
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Brandon V. Spano

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

    10/21/2025: Between March 2020 and May 2023, while associated with Equitable Advisors, Spano engaged in an outside business activity involving acquiring real estate without providing written notice to his firm. As a result, he violated FINRA Rules 3270 and 2010. For this conduct, Spano is suspended in all capacities for three months and fined $5,000.

    Reference 2023080632301finra.orgdata-portal.finra.org

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