Nex Systems
Type not stated

Allen and Company LLC

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

    09/20/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT. NO. 2008013446801 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Allen & Company LLC, Respondent Broker-Dealer CRD No. 1042 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Allen & Company LLC ("the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC")

    Reference 2008013446801data-portal.finra.orgfinra.org

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