Nex Systems
Type not stated

ALLAN J SATTERFIELD

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

    05/19/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. Allan J. Satterfield (CRD No. 4087020) and John Allan Jones (CRD No. 2558599) Respondents. Disciplinary Proceeding No. 20050013986-02 Hearing Officer: COMPLAINT The Department of Market Regulation alleges: Summary 1. Beginning in December 2004 and continuing through August 2005, while employed as salesmen at Wellstone Securities LLC, Respondents Allan J. Satterfield and John Allan Jones,

    12/24/2009: Financial Industry Regulatory Authority Office of Hearing Officers Department of Market Regulation, Complainant, v. Allan J. Satterfield (CRD No. 4087020) and John Allan Jones (CRD No. 2558599) Respondents. Disciplinary Proceeding No. 20050013986-02 Hearing Officer: COMPLAINT The Department of Market Regulation alleges: Summary 1. Beginning in December 2004 and continuing through August 2005, while employed as salesmen at Wellstone Securities LLC, Respondents Allan J. Satterfield and John Allan Jones,

    Reference 2005001398602data-portal.finra.orgdata-portal.finra.orgfinra.org

Other names1

Also known as1

ALLAN J. SATTERFIELD

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.