Nex Systems
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BRANTLEY S. WISE

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

    10/23/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007011365201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brantley S. Wise, Respondent Investment Company and Variable Contracts Products Representative [CRD No. 2279645] Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I, Brantley S. Wise, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose proposing a settlement of the alleged rule

    Reference 2007011365201data-portal.finra.orgfinra.org

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