Nex Systems
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ALAN G. MEISTER

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

    07/14/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. ALAN G. MEISTER (CRD No. 4354400), Respondent. Disciplinary Proceeding No. 2007011919001 Hearing Officer-Andrew H. Perkins DEFAULT DECISION July 14, 2010 Respondent is suspended from associating with any FINRA registered firm in any capacity for 15 months and fined $20,000 for: (1) participating in private securities transactions, in violation of NASD Conduct Rules 3040 and

    Reference 2007011919001finra.orgdata-portal.finra.org

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