Nex Systems
Type not stated

BRYAN PATRICK STEVENSON

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/09/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Bryan Patrick Stevenson Limited Registered Representative CRD No. 6028574 Respondent. DISCIPLINARY PROCEEDING No. 2013038822001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On August 27, 2013, Bryan Stevenson, while associated with a FINRA-registered firm, was in possession of prohibited study materials during a Series 7 examination. By reason of the foregoing, Stevenson violate

    09/03/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Bryan Patrick Stevenson, CRD No. 6028574, Respondent. Disciplinary Proceeding No. 2013038822001 Hearing Officer: Andrew H. Perkins ORDER ACCEPTING OFFER OF SETTLEMENT Date: 9/3/2015 INTRODUCTION Disciplinary Proceeding No. 2013038822001 was filed on January 9, 2015, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Bryan Stevenson

    Reference 2013038822001data-portal.finra.orgdata-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.