Nex Systems
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BRIAN ANTHONY SIMMONS

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

    01/28/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010025241301 TO: Department of Enforcement Financial industry Regulatory Authority ("FINRA") RE: Banorte-lxe Securities International, Ltd., Respondent Broker-Dealer CRD No. 30648 Brian Anthony Simmons, Respondent Former Registered Principal CRD No. 4349344 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents Banorte-lxe Securities International, Ltd. ("Banorte Securities" or the "Firm") and Brian Anthony

    Reference 2010025241301data-portal.finra.orgfinra.org

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