Nex Systems
Type not stated

BROWN BROTHERS HARRIMAN & CO.

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

    02/04/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035821401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brown Brothers Harriman & Co., Respondent CRD No. 104487 Harold A. Crawford, Respondent CRD No. 5326696 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule

    Reference 2013035821401data-portal.finra.orgfinra.org

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