Nex Systems
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BCP Securities 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

    05/22/2026: From December 2018 to April 2024, BCP engaged in the publication of equity research reports-publishing approximately 300 equity research reports during that period-prior to obtaining approval from FINRA to engage in such activity, in violation of NASD Rule 1017 and FINRA Rules 1017 and 2010. BCP also permitted four registered representatives to perform research activities even though they lacked the requisite registration qualifications, in violation of FINRA Rules 1210 and 2010. In addition, BCP's supervisory system was not reasonably designed to achieve compliance with FINRA registration requirements, in violation of FINRA Rules 3110 and 2010. For these violations, BCP is censured and fined $85,000...

    Reference 2023077062701data-portal.finra.orgfinra.org

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