Nex Systems
Type not stated

Arque Capital Ltd

Regulator action

United States. Named in 3 sanctions listings.

Screen this subject

Sanctions and listings3

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    05/10/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065125701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Arque Capital, Ltd. (Respondent) Member Firm CRD No. 121192 Michael C. Ning (Respondent) Operations Professional and General Securities Principal CRD No. 1229733 Pursuant to FINRA Rule 9216, Respondents Arque Capital, Ltd. and Michael C. Ning 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 2020065125701data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/01/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ARQUE CAPITAL, LTD. (CRD No. 121192), Respondent. Expedited Proceeding No. DFC230002 STAR No. 20230793367 Hearing Officer–BEK EXPEDITED DECISION December 1, 2023 Respondent Arque Capital, Ltd., failed to pay FINRA dues, fees, and other charges. Accordingly, its membership is cancelled. Appearances For the Complainant: Michael Manning, Esq., Mark Fernandez, Esq., and Jennifer L. Crawford, Esq., Department of Enforcement, Financial Industry Regulatory Authority For the Respondent: Audrey Kuwabara, Immediate Past Interim Chief Executive Officer for Arque Capital, Ltd.

    Reference DFC230002finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/14/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034847701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Linda Averman, Respondent Former General Securities Representative CRD No. 1112488 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

    Reference 2012033994701finra.orgdata-portal.finra.org

Other names1

Also known as1

Arque Capital Ltd.

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.