M. E. ALLISON & CO., INC. of SAN ANTONIO, TX is an SEC-registered investment adviser (CRD 1047). Regulatory assets under management: $366.4M.
Compensation: % of AUM, Hourly, Other.
Clients served: Individuals, High net worth, Charities, Other.
| Name | Role | Location |
|---|---|---|
| Christopher Rumsey Allison | CEO/CCO | — |
| Charles Bennett Allison | DIRECTOR | — |
| Linde Allen Murphy | PRESIDENT/CCO | — |
| ALLISON MILTON E JR | CHAIMAN, CEO, PRESIDENT | — |
| SEAL E JAMES | EXECUTIVE VICE PRESIDENT | — |
| ALLISON CHRISTOPHER RUMSEY | CEO/CCO; CHIEF FINANCIAL OFFICE; CHIEF FINANCIAL OFFICER/CCO | — |
| ALLISON CHARLES BENNETT | DIRECTOR | — |
| MURPHY LINDE ALLEN | PRESIDENT/CCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 1992-01-02 | regulatory | ACCEPTANCE, WAIVER AND CONSENT;CENSURED & FINED $7,500 BY THE NASD, WITHOUT ADMITTING OR DENYING THE EXISTANCE OF ANY VIOLATIONS, THE FIRM CONSENTED THAT AS A RESULT OF INCLUSION OF SECURITIES WHICH HAD PREVIOUSLY, FOR 30 YEARS, ACCEPTED AS GOOD CAPITAL BUT ARE NOW BEING DISALLOWED DUE TO LIMITED MA… | Final | $8K |
| 1987-03-02 | regulatory | ACCEPTANCE, WAIVER AND CONSENT:CENSURED AND FINED $8,000 BY THE NASD FOR VIOLATIONS OF ARTICLE III, SECTIONS 1 AND 21 OF THE RULES OF FAIR PRACTICE. WITHOUT ADMITTING OR DENYING THE EXISTANCE OF ANY VIOLATIONS, THE FIRM CONSENTED TO THE FOLLOWING FINDINGS: DUE TO AN ERROR IN COMPUTING THE FIRM'S NET… | Final | $8K |
| 1973-09-06 | regulatory | NASD RULES OF FAIR PRACTICE, ARTICLE III, SECTIONS 1, 18, 27 - INDIVIDUALS, ACTING THROUGH THE FIRM, PURCHASED SECURITIES FOR THEIR ACCOUNTS AND THEREAFTER VIOLATED SECTIONS 4(C)2 AND 4(C)8 IN CONNECTION WITH SAID TRANSACTIONS; AND FICTITIOUSLY POSTED ENTRIES TO CUSTOMERS' LEDGERS INDICATING THAT PA… | Final | $1K |
| City | State | Employees | Phone |
|---|---|---|---|
| CORPUS CHRISTI | TX | 2 | 361-360-4370 |