Nex Systems
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BRIAN R. SCARPELLINI

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

    08/14/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Brian R. Scarpellini (CRD No. 6320844), Respondent DISCIPLINARY PROCEEDING No. 2016048882501 HEARING OFFICFR: KBW ORDER ACCEPTING OFFER OF SETTLEMENT Date: NTRODUCTION Disciplinary Proceeding No. 2016048882501 was filed on February 9, 2017, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).

    02/09/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Brian R. Scarpellini (CRD No. 6320844), Respondent. DISCIPLINARY PROCEEDING No. 2016048882501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Brian R. Scarpellini, while associated with Merrill Lynch, Pierce, Fenner & Smith Inc. ("Merrill Lynch" or the "Firm"), converted funds totaling $1,158 from Bank of America, Merrill Lynch's bank affiliate, by engaging in a check kiting

    Reference 2016048882501data-portal.finra.orgdata-portal.finra.orgfinra.org

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