Nex Systems
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JAMES BRENDAN HANLEY

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

    08/03/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. JAMES BRENDAN HANLEY (CRD No. 1438024), Respondent. Disciplinary Proceeding No. C11050013 Hearing Officer - DMF DEFAULT DECISION August 3, 2005 Summary Respondent engaged in excessive trading in customer accounts, in violation of Rules 2310 and 2110 and IM-2310-2, and exercised discretion in customer accounts without written authorization, in violation of Rules 2510(b) and 2110. For these violations, he is suspended from associating

    04/21/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES BRENDAN HANLEY CRD No. 1438024 Respondent. Disciplinary Proceeding No. C11050013 Hearing Officer - COMPLAINT Upon information and belief, Complainant alleges the following: 1. Respondent James Brendan Hanley ("Hanley") first became registered with the NASD as a general securities representative in December 1985. During his career in the securities industry, Hanley has been registered with 18 NASD member firms. From August 19,

    Reference C11050013data-portal.finra.orgdata-portal.finra.orgfinra.org

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