Nex Systems
Type not stated

Alexander Quint

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

    02/14/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070418202 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Quint Capital Corporation (Respondent) Member Firm BD No. 26586 Alexander Quint (Respondent) General Securities Principal CRD No. 1012135 Pursuant to FINRA Rule 9216, Respondents Quint Capital Corporation (QCC) and Alexander Quint (Quint) submit 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 accepted, FINRA will not bring any future actions against Respondents alleging violations based on the same factual findings described in this AWC.

    Reference 2021070418202data-portal.finra.orgfinra.org

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