Nex Systems
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HOWARD J. ALLEN III

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

    11/16/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Howard J. Allen, III (CRD No. 2033586), and Joseph Q. McGowan (CRD No. 2233691), Respondents. Disciplinary Proceeding No. 2010022586201 Hearing Officer - MC ORDER ACCEPTING OFFER OF SETTLEMENT FROM RESPONDENT HOWARD J. ALLEN, III Date: November 16, 2013 INTRODUCTION Disciplinary Proceeding No. 2010022586201 was filed on December 5, 2012, by the Department of Enforcement of the Financial Industry

    Reference 2010022586201data-portal.finra.orgfinra.org

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