Nex Systems
Type not stated

ALAN N. BASILE

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    03/27/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006249601 TO: Department of Enforcement NASD RE: Alan N. Basile Respondent CRD No. 1179455 Pursuant to Rule 9216 of the NASD Code of Procedure, Alan N. Basile ("Basile") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me alleging

    Reference 2006006249601data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.