Nex Systems
Type not stated

ALLIANCEBERNSTEIN INVESTMENT RESEARCH AND MANAGEMENT INC.

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

    06/08/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. CE4050010 TO: Department of Enforcement NASD RE: AllianceBemstein Investment Research and Management, Inc. 1345 Avenue of the Americas New York, New York 10105-0096 BD No. 14549 Pursuant to Rule 9216 of NASD's Code of Procedure, Respondent AllianceBernstein Investment Research and Management, Inc. ("ABIRM") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part

    Reference CE4050010finra.orgdata-portal.finra.org

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