Nex Systems
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ALAN B. LEVIN

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

    08/22/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NOS. 2010021107702 AND 2010021256002 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alan B. Levin, Respondent Limited Principal-Financial and Operations CRD No. 3073530 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Alan B. Levin, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2010021107702data-portal.finra.orgfinra.org

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