Nex Systems
Type not stated

BRIAN SIMMONS

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

    04/17/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, V. BRIAN SIMMONS (CRD No. 4349344) RESPONDENT. DISCIPLINARY PROCEEDING No. 2011028647101 HEARING OFFICER - MAD ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2011028647101 was filed on June 7, 2013, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant) and amended by the Department of Enforcement on September 30,

    Reference 2011028647101data-portal.finra.orgfinra.org

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