Nex Systems
Type not stated

BRIAN D. TATE

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

    05/21/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090193411 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brian D. Tate, Respondent General Securities Representative CRD No. 525193411 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition

    Reference 2009019341101data-portal.finra.orgfinra.org

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