Nex Systems
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BRIAN ELLERSON

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

    04/30/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013037706901 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Brian Ellerson (CRD No. 4006091) Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Brian Ellerson ("Respondent" or "Ellerson"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2013037706901data-portal.finra.orgfinra.org

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