Nex Systems
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BRIAN J. HARTE

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

    05/28/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041059301 TO: Department of Enforcement Financial Industry Regulalory Authority ("FINRA") RE: Brian J. Harte Respondent Registered Representative CRD No. 4780629 Pursuant to FINRA Rule 9216 of FINRA's Code or Procedure, Brian J. Harte ("Harte" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposlng a settlement of the alleged

    Reference 2014041059301data-portal.finra.orgfinra.org

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