Nex Systems
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BRIAN T. UNGERER

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

    10/05/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005002435801 TO: Department of Enforcement NASD RE: Brian T. Ungerer Respondent CRD No. 4414752 Pursuant to Rule 9216 of the NASD Code of Procedure, Brian T. Ungerer ("Ungerer") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me alleging

    Reference 2005002435801data-portal.finra.orgfinra.org

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