Nex Systems
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Brian Lawrence Stephan

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

    04/11/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Brian Lawrence Stephan. (CRD No. 4222796) Respondent. Disciplinary Proceeding NO. 2014042022401 Hearing Officer – RES ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2014042022401 was filed on August 17, 2018, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Brian Lawrence Stephan

    08/17/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Brian Lawrence Stephan (CRD No. 4222796), Respondent. DISCIPLINARY PROCEEDING NO. 2014042022401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From May 2012 through May 2014 (the “Relevant Period”), Respondent Brian L. Stephan (“Stephan” or “Respondent”) recommended and caused the execution of unsuitable investments for TF, an 88-year-old customer. Specifically, Stephan

    Reference 2014042022401data-portal.finra.orgfinra.orgdata-portal.finra.org

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