Nex Systems
Type not stated

BNY MELLON CAPITAL MARKETS 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

    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

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