Type not stated
Screen this subjectBrian Court
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/28/2025: Between May 14, 2019 and April 28, 2021, Court exercised discretion without written authorization in connection with 604 trades in 10 customers' accounts. As a result, Court violated FINRA Rules 3260(b) and 2010. For these violations, Court is suspended for one month in all capacities.
Reference 2020068386501finra.orgdata-portal.finra.org
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