Nex Systems
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EILEEN ROSE BRIGGS

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

    11/04/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090207970 To: Department of Enforcement FINRA Re: James Donald Briggs Investment Company and Variable Contracts Products Representative CRD No. 2877401 and Eileen Rose Briggs Investment Company and Variable Contracts Products Representative CRD No. 2685545 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, we, James Donald Briggs

    Reference 2009020797001data-portal.finra.orgfinra.org

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