Nex Systems
Type not stated

BRIAN PETER KING

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

    10/12/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BRIAN PETER KING (CRD No. 2785488), Respondent. Disciplinary Proceeding No. E022004007205 Hearing Officer -SW ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 22,2007 INTRODUCTION Disciplinary Proceeding No. E022004007205 was filed on March 23,2007, by the Department of Enforcement of the Financial Industry Regulatory

    Reference E022004007205finra.orgdata-portal.finra.org

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