Nex Systems
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BRIAN TAGGART

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

    01/03/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.## C10040129 TO: Department of Enforcement NASD RE: Brian Taggart (CRD No. 2394575) Pursuant to Rule 9216 of NASD Code of Procedure. Brian Taggart ("Taggart" or "Respondent") 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 Respondent

    Reference C10040129finra.orgdata-portal.finra.org

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