Nex Systems
Type not stated

ACTIVA CAPITAL MARKETS INC.

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

    10/18/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009015972001 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Activa Capital Markets, Inc., Respondent CRD No. 42619 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent 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 submitted on the condition that if

    Reference 2009015972001data-portal.finra.orgfinra.org

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