Nex Systems
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ALAN J. BECKER

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

    08/07/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011030400501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alan J. Becker, Respondent CRD No. 4870553 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Alan J. Becker (''Respondent" or "Becker") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2011030400501data-portal.finra.orgfinra.org

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