Nex Systems
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ALLEN & 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

    10/31/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20042000071-01 TO: Department of Market Regulation NASD RE: Allen & Company LLC, Respondent Broker-Dealer CRD No. 1042 Pursuant to Rule 9216 of NASD Code of Procedure, Allen & Company LLC ("ALLN") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part Il below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future

    Reference 2004200007101finra.orgdata-portal.finra.org

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