Nex Systems
Type not stated

Charles Vista LLC

Financial crime

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Securities and Exchange CommissionUS SEC Actions Due to Harmed InvestorsUnited States

    sec.govsec.gov

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/03/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090161359-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Charles Vista LLC (BD No. 132650), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Charles Vista LLC ("Respondent" or "Charles Vista") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of

    Reference 2009016135901data-portal.finra.orgfinra.org

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