Nex Systems
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Bridge Capital Associates 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

    12/12/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039283801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Bridge Capital Associates, Inc., Respondent FINRA Member Firm BD No. 143475 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Bridge Capital Associates, Inc. ("BCA") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    12/12/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039283801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Bridge Capital Associates, Inc., Respondent FINRA Member Firm BD No. 143475 Pursuant to FINR.A Rule 9216 of FINKA's Code of Procedure, Bridge Capital Associates, Inc. ("BCA") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations describ

    Reference 2014039283801data-portal.finra.orgfinra.orgdata-portal.finra.org

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