Nex Systems
Type not stated

ALTERNA CAPITAL CORP.

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

    09/02/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006316002 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alterna Capital Corp., Respondent Member CRD No. 130233 Pursuant to NASD Rule 9216 of the Code of Procedure, Alterna Capital Corp. (f/k/a Allen Konrad Asset Management, Corp.) submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2006006316002data-portal.finra.orgfinra.org

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