Nex Systems
Person

ALLAN BRUCE ROSENTHAL

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

    06/20/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070094272 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Allan Bruce Rosenthal, Respondent Registered Representative CRD No. 2252495 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Allan Bruce Rosenthal ("Rosenthal" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2007009427201data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2252495

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