Nex Systems
Type not stated

ALEXANDER H. MCKINNIS

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

    10/13/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ALEXANDER H. McKINNIS (CRD No. 4218213), Respondent. Disciplinary Proceeding No. 2007010398802 Hearing Officer - LBB HEARING PANEL DECISION October 13,2011 Respondent violated NASD Conduct Rules 3110 and 2110 by entering his office e-mail address in customer records as the customers' e-mail addresses, thereby causing e-mail intended for customers to be sent only to him. He also violated NASD

    Reference 2007010398802data-portal.finra.orgfinra.org

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