Nex Systems
Person

ALAN R TATGENHORST

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

    07/20/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ALAN R. TATGENHORST (CRD No. 1613125), Respondent. Disciplinary Proceeding No. 2008014828301 Hearing Officer-Andrew H. Perkins DEFAULT DECISION July 20, 2010 Respondent is barred from associating with any member firm in any capacity for failing to provide information and documents to FINRA staff, in violation of Procedural Rule 8210 and FINRA Conduct Rule 2010. In light of the bar, no separate

    Reference 2008014828301data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number1613125

Other names1

Also known as1

ALAN RAY TATGENHORST

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