Nex Systems
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BLAYLOCK BEAL VAN 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

    11/09/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150437595-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Blaylock Beal Van, LLC, Respondent BD No. 145317 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, the Respondent, Blaylock Beal Van, LLC ("Blaylock" 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.

    Reference 2015043759501data-portal.finra.orgfinra.org

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