Nex Systems
Type not stated

TerraNova Capital Equities Inc.

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/21/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2015047958301 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: TerraNova Capital Equities, Inc. (the “Firm”), Respondent CRD No. 45097 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2015047958301data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/22/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066852401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: TerraNova Capital Equities, Inc. (Respondent) Member Firm CRD No. 45097 Pursuant to FINRA Rule 9216, Respondent TerraNova Capital Equities, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

    Reference 2020066852401finra.orgdata-portal.finra.org

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