Nex Systems
Type not stated

Ace Diversified Capital Inc.

Regulator action

United States. Named in 2 sanctions listings.

Screen this subject

Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/06/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009020356901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: ACE Diversified Capital, Inc., Respondent Member Firm CRD No. 41768 Lynnwood Jen, Respondent General Securities Representative General Securities Principal Equity Trader CRD No. 2198343 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents

    Reference 2009020356901data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/02/2019: Corrected1 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059315001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Roxana Sophia McKinney, Respondent CRD No. 4830895 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Roxana Sophia McKinney submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

    Reference 2016049183302data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.