Nex Systems
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Braymen, Lambert and Noel Securities Ltd

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

    08/26/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025610501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Braymen, Lambert and Noel Securities, Ltd., Respondent Member Firm CRD No. 124902 Shannon Braymen, Respondent General Securities Principal CRD No. 2099783 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Braymen, Lambert and Noel Securities, Ltd. ("BLNS") and Shannon Braymen ("Braymen") (collectively, Respondents)

    Reference 2011025610501data-portal.finra.orgfinra.org

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