J. Alden Associates Inc.

12/05/2025: J. Alden violated several regulatory requirements, designed to protect the investing public, relating to its financial operations, reporting, recordkeeping, and supervision, Between November 2021 and May 2024, J. Alden: conducted a securities business on 90 days during which it failed to maintain its required minimum net capital; failed to timely report a net capital deficiency; maintained inaccurate books and records by failing to use the accrual method of accounting; and failed to establish and maintain a supervisory system reasonably designed to ensure compliance with net capital and recordkeeping rules. Through this conduct, J. Alden violated Exchange Act §§15(c)(3) and 17(a), Exchange Act Rules 15c3-1, 17a-3 and 17a-11, and FINRA Rules 3110, 4110(b)(1), 4511, and 2010. For these violations, J. Alden is censured and fined $40,000.

Reference 2022074390401data-portal.finra.orgfinra.org

01/12/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016226801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: J. Alden Associates, Inc., Respondent Member Firm CRD No. 40002 Peter A. Engelbach, Respondent General Securities Principal and General Securities Representative CRD No. 201177 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents submit this Letter of Acceptance, Waiver and Consent

Reference 2009016226801data-portal.finra.orgfinra.org