Nex Systems
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EDWARD S. BROKAW

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

    06/11/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. EDWARD S. BROKAW (CRD No. 1162997) Respondent. Disciplinary Proceeding No. 2007007792902 Extended Hearing Panel Decision Hearing Officer - SNB June 11, 2010 For engaging in market manipulation, in violation of Section 10(b) of the

    11/15/2013: UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION OFFICE OF GENERAL COUNSEL Regulatory/Appellate SECURITIES EXCHANGE ACT OF 1934 Release No. 70883 / November 15, 2013 Admin. Proc. File No. 3-15059 In the Matter of the Application of EDWARD S. BROKAW c/o Kevin T. Hoffrnan Law Offices of Kevin T. Hoffrnan 151 Railroad Avenue Greenwich, CT 06830 For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION

    09/14/2012: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In lhe Matter of Department of Enforcement, Complainant, vs. Edward S. Brokaw Darien. CT. Respondent. DECSION Complaint No. 2007007792902 Dated: September 14, 2012 Respondent failed to conduct an adequate inquiry to ensure that a customer's trading instructions were not for a manipulative purpose and failed to ensure that accurate customer order

    Reference 2007007792902data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org

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