Nex Systems
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CapFi Financial Partners 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

    10/20/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056386401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: CapFi Financial Partners LLC Member Firm CRD No. 113795 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent CapFi Financial Partners LLC submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2018056386401data-portal.finra.orgfinra.org

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