Nex Systems
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Westport Capital Markets LLC

Financial crime

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/21/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E112005003901 TO: Department of Enforcement NASD RE: Westport Capital Markets, LLC BD No. 41562 Pursuant to Rule 9216 of NASD Code of Procedure, we submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against us alleging violations based on the same

    Reference E112005003901data-portal.finra.orgfinra.org

  • Official designation

    Securities and Exchange CommissionUS SEC Actions Due to Harmed InvestorsUnited States

    sec.govsec.gov

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