Nex Systems
Type not stated

CHARLES WILLIAM BROWN JR.

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

    01/05/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007010422001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Charles William Brown, Jr., Respondent Investment Company and Variable Contracts Products Representative CRD No.1411976 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below

    Reference 2007010422001finra.orgdata-portal.finra.org

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