BRIAN A. MURPHY
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/09/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. FOX FINANCIAL MANAGEMENT (CRD No. 134277), BRIAN A. MURPHY (CRD No. 4743164), and JAMES E. ROONEY, JR. (CRD No. 1857754), Respondents. Disciplinary Proceeding No. 2012030724101 Hearing Officer-DRS CORPORATION EXTENDED HEARING PANEL DECISION March 9, 2015 Respondents Fox Financial Management Corporation, James E. Rooney, Jr. and Brian A. Murphy violated:
01/06/2017: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, VS. Fox Financial Management Corporation Carrollton, TX, Brian A. Murphy Frisco, TX, and James E. Rooney, Jr. Carrollton, TX, Respondents. DECISION Complaint No. 2012030724101 Dated: January 6, 2017 FINRA member and its principals failed to record and supervise private securities transactions in which a registered representative participated for compensation.
Reference 2012030724101data-portal.finra.orgdata-portal.finra.orgfinra.org
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