Nex Systems
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BRYAN ROY TODD

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

    01/09/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048390301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Bryan Roy Todd, Respondent General Securities Representative General Securities Principal CRD No. 2138027 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Bryan Roy Todd, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2016048390301finra.orgdata-portal.finra.org

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