Nex Systems
Type not stated

BRIAN W. BERNIER

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

    05/15/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS1 DEPARTMENT OF ENFORCEMENT, Complainant, v. STONEGATE PARTNERS, LLC (CRD No. 43034), and BRIAN W. BERNIER (CRD No. 1298285), Respondents. Disciplinary Proceeding No. E112005002003 Hearing Officer-DMF HEARING PANEL DECISION May 15, 2008 Summary Respondents (1) violated Rule 2110 by providing misleading information to FINRA in connection with an examination of Respondent firm, and (2) violated Rules 3010 and 2110 by failing to maintain and

    Reference E112005002003data-portal.finra.orgfinra.org

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