Nex Systems
Type not stated

Belle Haven Investments L.P.

Regulator action

United States. Named in 3 sanctions listings.

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Sanctions and listings3

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    07/27/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060068049-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Belle Haven Investments, L.P., Respondent Broker-Dealer CRD No. 29278 Pursuant to FINRA Rule 9216 of the FINRA Code of Procedure, Belle Haven Investments, L.P. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the

    Reference 2006006804901data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/12/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C11050008 TO: Department of Enforcement NASD RE: Belle Haven Investments, L.P., Respondent CRD No. 29278 Pursuant to Rule 9216 of NASD Code of Procedure, we submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring

    Reference C11050008data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/30/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130388150-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Belle Haven Investments, L.P., Respondent Broker-Dealer CRD No. 29278 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Belle Haven Investments, L.P. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

    Reference 2013038815001data-portal.finra.orgfinra.org

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