Nex Systems
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Brian Jerome Rice

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

    11/02/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064312902 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brian Jerome Rice (Respondent) Former General Securities Representative and General Securities Principal CRD No. 2103354 Pursuant to FINRA Rule 9216, Respondent Brian Jerome Rice submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2019064312902data-portal.finra.orgfinra.org

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