Nex Systems
Type not stated

BROADPOINT CAPITAL 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

    12/18/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006755201 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Broadpoint Capital, Inc., Respondent Broker-Dealer CRD No, 298 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, Broadpoint Capital, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of

    Reference 2006006755201data-portal.finra.orgfinra.org

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