Nex Systems
Type not stated

BNY CAPITAL MARKETS INC.

Regulator action

United States. Named in 2 sanctions listings.

Screen this subject

Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/09/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050006620-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BNY Mellon Capital Markets, Inc., ("BNY Mellon CMP") (BD No. 17454) (formerly known as BNY Capital Markets, Inc. ("BNY CMI" or the "firm"), (BD No. 18303)), Respondent Pursuant to NASD Rule 9216 of Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

    Reference 2005000662001data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/14/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2008013055201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BNY Mellon Capital Markets, LLC, Respondent Member Firm BD No. 17454 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the

    Reference 2008013055201data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.