Nex Systems
Type not stated

ALLSTATE FINANCIAL SERVICES 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

    12/15/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2015047806501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Allstate Financial Services, LLC, Respondent CRD No. 18272 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Allstate Financial Services, LLC ("AFS") submits 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

    Reference 2015047806501finra.orgdata-portal.finra.org

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