Nex Systems
Person

ALLEN M. GREEN

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

    01/29/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Allen M. Green (CRD No. 824126), Respondent DISCIPLINARY PROCEEDING No. 20110280719 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Allen Michael Green ("Green" or "Respondent") violated NASD Rules 2310 and 2110, and FINRA Rules 2111 and 2010 when he (1) made unsuitable recommendations to a disabled customer, and (2) had no reasonable basis to

    Reference 2011028071901data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number824126

Other names1

Also known as1

ALLEN MICHAEL GREEN

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