Nex Systems
Type not stated

FRED ALGER & COMPANY INCORPORATED

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    05/18/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.# 20050002664-01 TO: NASD Department of Market Regulation RE: Fred Alger & Company, Incorporated, Respondent Broker-Dealer CRD No. 5300 Pursuant to Rule 9216 of NASD Code of Procedure, Fred Alger & Company, Incorporated (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below.

    Reference 2005000266401finra.orgdata-portal.finra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.