BROCKINGTON SECURITIES INC.

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/05/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT TO: Department of Market Regulation NASD RE: Brockington Securities, Inc., Respondent Broker-Dealer CRD No. 37438 Pursuant to Rule 9216 of NASD Code of Procedure, Brockington Securities, Inc., ("BGTN") 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
Reference 2005000076401data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/14/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008011660901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brockington Securities, Inc. Member Firm (CRD No. 37438) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Brockington Securities, Inc. ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is
Reference 2008011660901data-portal.finra.org finra.org

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