Nex Systems
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BRANDY ANN ULBRICH

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

    04/02/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012033348401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brandy Ann Ulbrich, Respondent Former General Sales Representative CRD No. 3248043 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Brandy Ann Ulbrich ("Ulbrich"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2012033348401data-portal.finra.orgfinra.org

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