Nex Systems
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BRIAN R. EASTRIDGE

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

    08/11/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Brian R. Eastridge (CRD No. 3178922), Respondent. DISCIPLINARY PROCEEDING NO.: 2009020675401 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between March and November 2009 (the "Relevant Period"), Brian R. Eastridge ("Eastridge") sold interests in so-called convertible bonds issued by United American Ventures, LLC ("UAV") to at least three of his member firm customers

    01/25/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, v. BRIAN R. EASTRIDGE (CRD No. 3178922), Respondent. Complainant, Disciplinary Proceeding No. 2009020675401 Hearing Officer - RSH DEFAULT DECISION January 25, 2012 Respondent was sanctioned as follows: (1) For engaging in private securities transactions in violation of Rules 3040 and 2010, he is fined $50,000 and suspended from associating with any FINRA-registered firm in any capacity for six months; (2) For

    Reference 2009020675401data-portal.finra.orgdata-portal.finra.orgfinra.org

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