Nex Systems
Type not stated

ALADDIN CAPITAL LLC

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/19/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006003873401 TO: Department of Enforcement NASD RE: Aladdin Capital LLC, Member BD No. 103766 and George M. Marshman, Registered Principal CRD No. 2170808 Pursuant to Rule 9216 of NASD Code of Procedure, we submit our 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

    Reference 2006003873401data-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.