Nex Systems
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BRIAN PATRICK DENNEN

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

    11/13/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120348219-03 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA"') RE: Brian Patrick Dennen, Respondent CRD No. 3239786 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Brian Patrick Dennen ("Dennen" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2012034821903finra.orgdata-portal.finra.org

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