Nex Systems
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BRIAN EDWARD SMITH

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

    12/12/2005: NASD REGULATION, INC. LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C06050014 TO: Department of Enforcement NASD Regulation, Inc. RE: First Avantus Securities, Inc. Member Firm CRD No. 40418 . Brian Edward Smith General Securities Principal CRD No. 2287309 Pursuant to Rule 9216 of the National Association of Securities Dealers, Inc. ("NASD") Code of Procedure, First Avantus Securities, Inc., and Brian Edward Smith, ("Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose

    Reference C06050014finra.orgdata-portal.finra.org

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