Nex Systems
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BRIAN L. DANIELS

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

    09/03/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008011697201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Fortune Financial Services, Inc. Member CRD No. 42150 Brian L. Daniels General Securities Principal CRD No. 1213561 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, we submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2008011697201data-portal.finra.orgfinra.org

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