Nex Systems
Type not stated

BROOKSTREET SECURITIES CORP.

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

    06/22/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. EAF0400570001 TO: Department of Enforcement NASD RE: Brookstreet Securities Corp., Respondent (BD No. 14667) Stanley Brooks, Respondent (CRD No. 31684) Kathleen M. McPherson, Respondent (CRD No. 1526361) Pursuant to Rule 9216 of NASD Code of Procedure, Brookstreet Securities Corp., Stanley Brooks and Kathleen M. McPherson (each a "Respondent" and collectively, "Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

    Reference EAF0400570001data-portal.finra.orgfinra.org

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