Nex Systems
Type not stated

BRIAN JOSEPH SEKELSKY

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

    06/09/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY {"FINRA") OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BRIAN JOSEPH SEKELSKY, (CRD No. 2869906) Respondent. Disciplinary Proceeding No. 2009017623801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Brian Joseph Sekelsky ("Sekelsky"): (1) failed to timely execute sell orders in a husband and wife's IRA accounts, in violation of NASD Conduct Rule 2110; (2) executed

    10/29/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Brian Joseph Sekelsky, (CRD No. 2869906), Respondent. Disciplinary Proceeding 2009017623801 Hearing Officer Rochelle S. Hall ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2009017623801 was filed on June 9, 201 by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).

    Reference 2009017623801data-portal.finra.orgdata-portal.finra.orgfinra.org

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