Nex Systems
Person

NICOLE Y. 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

    02/20/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. NICOLE Y. ALLEN (CRD No. 3075257), Respondent. Disciplinary Proceeding No. 2006005891201 DEFAULT DECISION Hearing Officer-SW Dated: February 20, 2008 Respondent: (1) failed to respond to FINRA requests for information, in violation of NASD Conduct Rule 2110 and Procedural Rule 8210; and (2) engaged in a private securities transaction, in violation of NASD Conduct Rules 3040 and 2110. Respondent is

    Reference 2006005891201data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number3075257

Other names1

Also known as1

NICOLE YVETTE ALLEN

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