Nex Systems
Type not stated

BRIAN CAMPBELL

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

    02/05/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BRIAN CAMPBELL (CRD No. 2297936), Respondent. Disciplinary Proceeding No. 2010023065601 Hearing Officer - SNB DEFAULT DECISION February 5, 2013 Respondent is barred from associating with any FINRA member firm in any capacity for failing to provide a complete response to requests for documents and information, in violation of FINRA Rules 8210 and 2010.

    Reference 2010023065601data-portal.finra.orgfinra.org

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