Nex Systems
Type not stated

A.K. CAPITAL 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

    11/03/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025809401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: A.K. Capital, LLC, Respondent BD No. 28345 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent A.K. Capital, LLC ("A.K. Capital" or 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 AWC is

    Reference 2011025809401data-portal.finra.orgfinra.org

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