Nex Systems
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BRIAN SANDY RAUCH

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

    06/01/2017: FlNANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039358004 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brian Sandy Rauch ("Rauch") Former General Securities Representative ("GSR") CRD No. 4201381 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Respondent Brian Sandy Rauch, submit this Letter of Acceptance. Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2014039358004data-portal.finra.orgfinra.org

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