Nex Systems
Type not stated

Aurora Capital LLC

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

    10/31/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050784101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Aurora Capital LLC, Respondent Member Firm CRD No. 37924 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Aurora Capital LLC ("Aurora Capital" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2016050784101finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/07/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008011646701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Aurora Capital LLC, Respondent BD No. 37924 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Aurora Capital LLC, ("Aurora" or the "Firm") submits 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

    Reference 2008011646701data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/30/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120338663-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Aurora Capital LLC, Respondent ("Aurora" or the "Firm") BD No. 37924 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, the Respondent, Aurora Capital LLC, submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2012033866301finra.orgdata-portal.finra.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.