Nex Systems
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Brian Douglas Engstrom

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

    04/20/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057247101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brian Douglas Engstrom, Respondent Former General Securities Representative and General Securities Sales Supervisor CRD No. 1838926 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Brian Douglas Engstrom submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2018057247101data-portal.finra.orgfinra.org

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