Nex Systems
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BMI Capital International 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

    06/10/2026: On 64 days between June 2022 and May 2023, BMI conducted a securities business while failing to maintain its minimum required net capital, in violation of Section 15(c)(3) of the Securities Exchange Act of 1934, Exchange Act Rule 15c3-l, and FINRA Rules 4110(b)(1) and 2010. During the same period, the firm prepared and maintained inaccurate net capital-related books and records, and in April 2023, filed an inaccurate quarterly Financial and Operational Combined Uniform Single (FOCUS) Report, in violation of Exchange Act§ 17(a), Exchange Act Rules 17a-3 and 17a-5, and FINRA Rules 4511 and 2010. For these violations, the firm is censured and fined $15,000.

    Reference 2023076998201data-portal.finra.orgfinra.org

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