Nex Systems
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BRENDAN W. COUGHLIN

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

    12/10/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. BRENDAN W. COUGHLIN CRD NO. 4917244 and HENRY D. HARRISON CRD NO. 49199u7 RESPONDENTS DISCIPLINARY PROCEEDING NO. 2009017497202 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From September 2006 through January 2009, Provident Asset Management, LLC, firm registered with FINRA

    05/25/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BRENDAN W. COUGHLIN (CRD NO. 4917244), and HENRY D. HARRISON (CRD NO. 4919907), Respondents. Disciplinary Proceeding No. 2009017497202 Hearing Officer - MAD DEPARTMENT OF ENFORCEMENT, Complainant, v. DARREN D. GIBSON (CRD No. 20452), and CHARLES T. MASON (CRD No. 2206257), Respondents.

    Reference 2009017497202data-portal.finra.orgdata-portal.finra.orgfinra.org

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