Nex Systems
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BRIAN W. LAING

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

    07/18/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E8A2004054201 TO: Department of Enforcement NASD RE: Brian W. Laing, Respondent Limited Registered Representative (CRD No. 2128928) Pursuant to Rule 9216 of NASD Code of Procedure, I, Brian W. Laing, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part H below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions

    Reference E8A2004054201finra.orgdata-portal.finra.org

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