Nex Systems
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JHS CAPITAL ADVISORS 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

    09/06/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009015974701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Pointe Capital, Inc. (n/k/a JHS Capital Advisors, Inc.) BD No. 112097 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Pointe Capital, Inc. (n/k/a JHS Capital Advisors, Inc.) (hereinafter, "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

    Reference 2009015974701data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/05/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110281964-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: JHS Capital Advisors, Inc., Respondent Broker-Dealer CRD No. 112097 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, JHS Capital Advisors, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

    Reference 2011028196401data-portal.finra.orgfinra.org

Other names2

Also known as2

JHS Capital Advisors Inc.POINTE CAPITAL INC.

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