Nex Systems
Type not stated

Capital Guardian 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

    05/18/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035775302 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Capital Guardian, LLC, Respondent CRD No. 137919 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Capital Guardian, LLC ("Capital Guardian" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2013035775302data-portal.finra.orgfinra.org

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