Nex Systems
Type not stated

ASCENDIANT CAPTIAL MARKETS 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

    06/25/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ascendiant Capital Markets, LLC, CRD No. 152912, Respondent. Disciplinary Proceeding No. 2010023220507 Hearing Officer - KBW ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 25, 2015 INTRODUCTION Disciplinary Proceeding No. 2010023220507 was filed on February 23, 2015 by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Ascendiant Capital

    Reference 2010023220507data-portal.finra.orgfinra.org

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