Nex Systems
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ALLEN MICHAEL KAY

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

    12/21/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008014053102 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Allen Michael Kay, Respondent CRD No. 2011245 Pursuant to F NRA 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, FINRA

    Reference 2008014053102data-portal.finra.orgfinra.org

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