Nex Systems
Type not stated

BACK BAY CAPITAL 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

    02/02/2005: NASD OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. Back Bay Capital, Inc. (CRD No. 22824) Respondent. Disciplinary Proceeding No. CMS040049 Hearing Officer - SNB ORDER ACCEPTING OFFER OF SETTLEMENT February 2, 2005 INTRODUCTION Disciplinary Proceeding No. CMS040049 was filed on April 22, 2004, by the Market Regulation Department of NASD ("Complainant"). Respondent Back Bay Capital, Inc. submitted an Offer of Settlement ("Offer")

    Reference CMS040049data-portal.finra.orgfinra.org

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