Nex Systems
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BRETT S. SPITALNY

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

    06/12/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005003286802 TO: Department of Enforcement NASD RE: Brett S. Spitalny, Respondent Registered Representative CRD No. 2966804 Pursuant to Rule 9216 of NASD Code of Procedure, Brett S. Spitalny ("Spitalny") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future

    Reference 2005003286802data-portal.finra.orgfinra.org

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