Nex Systems
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JAMES ROBERT BROWN

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

    11/09/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ELI2002010504 TO: Department of Enforcement NASD RE: James Robert Brown ("Brown") CRD No. 2515229 Robert Anthony Bellia, Jr. ("Bellia") CRD No. 2387955 Pursuant to Rule 9216 of NASD Code of Procedure, Brown and Bellia submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring

    Reference ELI2002010504data-portal.finra.orgfinra.org

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