Nex Systems
Type not stated

ARIANE CAPITAL PARTNERS 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

    01/02/2014: FINANCIAL INDUSTRY REGULATORY AUTHOITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012030599001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ariane Capital Partners, LLC (BD No. 36143), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Ariane Capital Partners, LLC ("ACP" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2012030599001data-portal.finra.orgfinra.org

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