Nex Systems
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JOHN C. BRAKE SR.

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

    09/24/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009017202601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John C. Brake, Sr., Respondent Investment Company and Variable Contracts Products Representative CRD No. 3030427 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

    Reference 2009017202601finra.orgdata-portal.finra.org

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