Nex Systems
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BROOKVIEW CAPITAL 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

    08/24/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080152590-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Brookview Capital LLC, Respondent Broker-Dealer CRD No.123335 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Brookview Capital LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of

    Reference 2008015259001data-portal.finra.orgfinra.org

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