Nex Systems
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CHRIS J. BRAINARD

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

    05/10/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C040500 16 To: Department of Enforcement NASD Re: Chris J. Brainard General Securities Representative (CRD No. 2687215) Pursuant to Rule 9216 of the NASD Code of Procedure, I, Chris J. Brainard, submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me

    Reference C04050016data-portal.finra.orgfinra.org

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