Nex Systems
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Brian Joseph 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

    05/04/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059689101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brian Joseph Harte, Respondent General Securities Representative, General Securities Principal, Registered Options Principal, Financial and Operations Principal, and Operations Professional CRD No. 4780629 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Brian Joseph Harte submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2018059689101finra.orgdata-portal.finra.org

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