Nex Systems
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BRIAN J. ROSS

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

    11/11/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005000132001 TO: Department of Enforcement NASD RE: Brian J. Ross, Respondent General Securities Representative [CRD No. 3234817] Pursuant to Rule 9216 of the NASD 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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions

    Reference 2005000132001data-portal.finra.orgfinra.org

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