Nex Systems
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BRIAN R. MITCHELL

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/26/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. BRIAN R. MITCHELL, Limited Registered Representative (CRD No.5205677), Respondent. Disciplinary Proceeding No. 2009017279501 Hearing Officer Lawrence Bernard ORDER ACCEPTING OFFER OF SETTLEMENT Date: August 26, 2011 INTRODUCTION Disciplinary Proceeding No. 2009017279501 was filed on December 3, 2010, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)

    12/03/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant vs. BRIAN R. MITCHELL Limited Registered Representative (CRD No. 5205677) Respondent Disciplinary Proceeding No. 2009017279501 Hearing Officer COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From in or about August 2006 until at least March 2009, Brian R. Mitchell (Mitchell) engaged in outside business activities, in that he was an independent sales associate with Pre-Paid Legal

    Reference 2009017279501data-portal.finra.orgdata-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    05/20/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. AUSTIN SECURITIES, INC. (BD No. 17094) -and- BRIAN R. MITCHELL (CRD No. 1191608) Respondents. Disciplinary Proceeding No. CL1050009 Hearing Officer COMPLAINT Upon information and belief, the Department of Enforcement alleges the following: JURISDICTION 1. Respondent Austin Securities, Inc. ("Austin"), a broker-dealer, has been an NASD member since in or around September 1986.

    10/25/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BRIAN R. MITCHELL (CRD No. 1191608), Respondent. Disciplinary Proceeding No.2005001017102 Hearing Officer - SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 25, 2005 INTRODUCTION Disciplinary Proceeding No. CL1050009 was filed on May 20, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondent Brian R. Mitchell ("Mitchell" or "Respondent") submitted an Offer of Settlement ("Offer") to Complainant dated

    Reference 2005001017102data-portal.finra.orgfinra.orgdata-portal.finra.org

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