Nex Systems
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Brian Francis Giammona

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

    10/26/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074075101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brian Francis Giammona (Respondent) Former General Securities Representative CRD No. 6386081 Pursuant to FINRA Rule 9216, Respondent Brian Francis Giammona 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, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

    Reference 2022074075101data-portal.finra.orgfinra.org

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