BRIAN SANDERS

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/30/2013: FINANCIAL INDUSTRY REGULATORY AuTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, V. NATHALO MENENDEZ (CRD 4882003), XXXXXX XXXXXXXXX XXXX XXXXXXXXX BRIAN SANDERS (CRD 2743309), AND ANTHONY SPAGNOLO (4726651), RESPONDENTS. DISCIPLINARY PROCEEDING No. 2009016159110 HEARING OFFICER- The Department of Enforcement alleges: SUMMARY 1. During the period 2007 through 2010, while employed as registered representatives at iTRADEdirect.com (''iTrade"), Respondents
Reference 2009016159110data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/04/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BRIAN SANDERS (CRD No. 2743309), Respondent. Disciplinary Proceeding No. 2009016159111 Hearing Officer-LOM HEARING PANEL DECISION May 4, 2015 Respondent, Brian Sanders, the Chief Compliance Officer of his FINRA member firm, failed to reasonably supervise the activities of registered representatives at the firm in violation of NASD Rules 3010(a)
Reference 2009016159111data-portal.finra.org finra.org

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