Nex Systems
Type not stated

BRIAN LEWIS PITTMAN

Regulator action

United States. Named in 2 sanctions listings.

Screen this subject

Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    02/02/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048480901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brian Lewis Pittman, Respondent General Securities Representative CRD No. 2963196 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Brian Lewis Pittman, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2016048480901data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/12/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034304002 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brian Lewis Pittman, Respondent General Securities Representative CRD No. 2963196 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Brian Lewis Pittman, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2012034304002finra.orgdata-portal.finra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.