Nex Systems
Type not stated

DAVID FRANCIS BROCHU

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

    01/23/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006005242501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Member CRD No. David Francis Brochu General Securities Principal CRD No. 1164857 Jill Schlesinger General Securities Principal CRD No. 2587365 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, we submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2006005242501data-portal.finra.orgfinra.org

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