Nex Systems
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BLACKBOOK CAPITAL LLC

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

    05/05/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025700901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Blackbook Capital LLC, Respondent BD No. 123234 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Blackbook Capital LLC ("Blackbook," "Respondent," or "the Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

    Reference 2011025700901data-portal.finra.orgfinra.org

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