Nex Systems
Type not stated

CAPITAL ANALYSTS INCORPORATED

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

    09/29/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E9A2Q04003301 TO: Department of Enforcement NASD RE: Capital Analysts, Incorporated Member CRD No. 5478 Pursuant to Rule 9216 of the NASD Code of Procedure, Capital Analysts, Incorporated ("CAI") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition

    Reference E9A2004003301finra.orgdata-portal.finra.org

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