Nex Systems
Type not stated

BELOYAN INVESTMENT 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

    08/06/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MARK B. BELOYAN (CRD No. 1392748), and TRADESPOT MARKETS INC. (FORMERLY KNOWN AS BELOYAN INVESTMENT SECURITIES, INC.) (CRD No. 29683), Respondents. Disciplinary Proceeding No. 2005001988201 Hearing Officer - RSH AMENDED Hearing Panel Decision August 6, 2010 The Respondents violated Conduct Rules 2210 and 2110 by recommending the purchase of securities in e-mails that were unbalanced, misleading,

    12/20/2011: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Mark B. Beloyan Davie, FL, and Tradespot Markets, Inc. (f/k/a Beloyan Investment Securities, Inc.) Davie, FL, Respondents. DECISION Complaint No. 2005001988201 Dated: December 20, 2011 Respondents emailed stock recommendations that were not fair and balanced, did not provide a sound basis for evaluating the recommended stock, omitted material information, and

    Reference 2005001988201data-portal.finra.orgfinra.orgdata-portal.finra.org

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