Nex Systems
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HOWARD BRAFF

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

    05/19/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. HOWARD BRAFF (CRD No. 1161062), Respondent. Disciplinary Proceeding No. 2007011937001 Hearing Officer-Andrew H. Perkins HEARING PANEL DECISION May 19, 2010 Respondent is fined $15,000 and suspended in all capacities for one year for: (i) failing to notify his employer firms, in writing, that he had securities accounts at two other firms and failing to notify those firms that he was associated with

    05/13/2011: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Howard Braff Holtsville,NY, Respondent. DECISION Complaint No. 2007011937001 Dated: May 13, 2011 Respondent failed to provide written notice of his outside brokerage accounts and broker-dealer employment, and falsely stated that he had no outside brokerage accounts. Held, findings affirmed, sanctions modified. Appearances For the Complainant: Samuel Barkin, Esq.,

    Reference 2007011937001data-portal.finra.orgdata-portal.finra.orgfinra.org

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