Nex Systems
Type not stated

FRANK E. BRICKELL

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    03/08/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010022543701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: World Trade Financial Corp., Respondent Member CRD No. 42638 Frank E. Brickell, Respondent General Securities Principal CRD No. 3257725 Rodney P. Michel, Respondent General Securities Principal CRD No. 1275392 Jason T. Adams, Respondent General Securities Principal CRD No. 2137404 Pursuant to FINRA's Code of Procedures,

    Reference 2010022543701data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.