Nex Systems
Type not stated

BYN MELLON CAPITAL MARKETS 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

    07/11/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150476555-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BNY Mellon Capital Markets, LLC, Respondent Broker-Dealer CRD No. 17454 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNY Mellon Capital Markets, LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2015047655501data-portal.finra.orgfinra.org

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