Nex Systems
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BRIAN EUGENE MCLAIN

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

    06/15/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO 2006004686701 To: Department of Enforcement NASD Re: Brian Eugene McLain Investment Company/Variable Contracts Representative CRD # 1646092 Pursuant to Rule 9216 of NASD Code of Procedure, Brian Eugene McLain ("McLain" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD

    Reference 2006004686701data-portal.finra.orgfinra.org

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