Nex Systems
Type not stated

79 Capital Securities LLC

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/27/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035565002 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: 79 Capital Securities, LLC, Respondent Broker-Dealer CRD No. 145511 Michael M. Ward, Respondent CRD No. 2853262 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2013035565002data-portal.finra.orgfinra.org

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