Nex Systems
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BRETT HENDERSON

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

    12/13/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Brett Henderson (CRD No. 2420629), Respondents. DISCIPLINARY PROCEEDING No. 2009019513902 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between December 2006 and December 2007, Brett Henderson ("Respondent" or "Henderson") engaged in a pattern of unsuitable variable annuity switch transactions, in which Respondent executed 33 switches involving 32 customers. Respondent executed these

    04/10/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Brett Henderson, CRD No. 2420629, Respondent. Disciplinary Proceeding No.2009019513902 Hearing Officer MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 10, 2012 INTRODUCTION Disciplinary Proceeding No. 2009019513902 was filed on December 13, 2011, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Henderson submitted an Offer of

    Reference 2009019513902data-portal.finra.orgdata-portal.finra.orgfinra.org

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