Nex Systems
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DENNIS BROWN

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

    07/14/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DENNIS BROWN (CRD No. 3022551), Respondent. Disciplinary Proceeding No. 2007010450601 Hearing Officer - MC AMENDED HEARING PANEL DECISION1 Jury 14, 2009 For failing to respond in any manner to FINRA staff requests for information, in violation of Conduct Rule 2110 and Procedural Rule 8210, Respondent is barred from associating with any FINRA member firm in any capacity. In light of the bar, no

    Reference 2007010450601data-portal.finra.orgfinra.org

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