Nex Systems
Type not stated

CAPITAL FINANCIAL SERVICES 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

    08/03/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009019125903 To: Department of Enforcement Financial Industry Regulatory Authority (FINRA) Re: Capital Financial Services, Inc. CRD No. 8408 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Capital Financial Services, Inc. (CFS) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition

    Reference 2009019125903data-portal.finra.orgfinra.org

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