Nex Systems
Person

RAY ANTHONY 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

    07/01/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHRISTIAN PETER KURETSKI (CRD NO. 2487902); and RAY ANTHONY ALLEN, (CRD NO. 2925054) Respondents. Disciplinary Proceeding No. C9B040108 Hearing Officer - AWH ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 30, 2005 INTRODUCTION Disciplinary Proceeding No. C9B040108 was filed on December 27, 2004, by the Department of Enforcement of NASD (''Complainant"). Respondent Ray Anthony Allen submitted an Offer of Settlement ("Offer") to

    Reference C9B040108data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2925054

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