Nex Systems
Type not stated

ALLIANT SECURITIES 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

    07/28/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009018036601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alliant Securities, Inc., Respondent Member Firm CRD No. 7726 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Alliant Securities, Inc. ("Alliant Securities" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2009018036601data-portal.finra.orgfinra.org

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