Nex Systems
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Brant Andrew Ray

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

    09/20/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. BRANT ANDREW RAY(CRD No. 4746637) Respondent. Disciplinary Proceeding No. 2015047096601 Hearing Officer – DW ORDER ACCEPTING OFFER OF SETTLEMENT

    05/01/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BRANT ANDREW RAY (CRD No. 4746637), Respondent. DISCIPLINARY PROCEEDING No. 2015047096601 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Brant Andrew Ray improperly borrowed $50,000 from a customer in March 2014. Ray thereafter falsely certified in an annual compliance questionnaire that he was in compliance with his firm's prohibition against borrowing from customers. He

    05/30/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BRANT ANDREW RAY (CRD No. 4746637), Respondent. DISCIPLINARY PROCEEDING No. 2015047096601 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Brant Andrew Ray improperly borrowed $50,000 from a customer in March 2014. Ray thereafter falsely certified in an annual compliance questionnaire that he was in compliance with his firm's prohibition against borrowing from customers. He

    Reference 2015047096601data-portal.finra.orgfinra.orgdata-portal.finra.orgdata-portal.finra.org

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