Nex Systems
Type not stated

BRIAN ESTES

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

    06/21/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010023375001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brian Estes, Respondent Not currently registered CRD No. 2144447 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits 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 that

    Reference 2010023375001finra.orgdata-portal.finra.org

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