Nex Systems
Type not stated

BARON 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

    05/12/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016315201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Baron Capital, Inc., BD No. 10538 Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Baron Capital, Inc., 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 submitted on the condition

    Reference 2009016315201data-portal.finra.orgfinra.org

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