Nex Systems
Type not stated

AVILA CAPITAL MARKETS INC.

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

    09/27/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013036336001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Avila Capital Markets, Inc., Respondent Registered Broker-Dealer CRD No. 103941 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Avila Capital Markets, Inc. ("Respondent" or the "Firm" submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2013036336001data-portal.finra.orgfinra.org

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