Nex Systems
Person

Kenneth Ronald Allen

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

    06/30/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012033432301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Kenneth Ronald Allen, Respondent CRD No. 2574350 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Kenneth Ronald Allen ("Respondent" or "Allen") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2012033432301data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2574350

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