Nex Systems
Type not stated

Blue Capital 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

    06/03/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035242501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Blue Capital Securities, Inc., Respondent Member Firm BD No. 38901 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Blue Capital Securities, !nc. ("BCS" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2013035242501data-portal.finra.orgfinra.org

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