Nex Systems
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ALLAN YIV CHAN

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

    06/09/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070104825-01 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Allan Yiv Chan, Respondent Associated Person CRD No. 4315701 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted,

    Reference 2007010482501data-portal.finra.orgfinra.org

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