Nex Systems
Type not stated

ALLEN WAYNE ST. AMOUR

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

    12/16/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ALLEN WAYNE ST. AMOUR (CRD No. 4188891), Respondent. Disciplinary Proceeding No. 2011028324101 Hearing Officer - LBB DEFAULT DECISION Dated: December 16, 2013 Respondent is suspended for four months, fined $15,000, and ordered to disgorge $114,030 in commissions, for engaging in outside business activities without submitting prior written notice to his firm, in violation of FINRA Rules 3270 and

    Reference 2011028324101finra.orgdata-portal.finra.org

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