CAPITAL INSTITUTIONAL SERVICES INC.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/04/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E062005004301 TO: Department of Enforcement NASD RE: Capital Institutional Services, Inc. CRD No. 7551 Pursuant to Rule 9216 of NASD's Code of Procedure, Capital Institutional Services, Inc. ("CISI" 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 in Part II below. This AWC is submitted
Reference E062005004301data-portal.finra.orgfinra.org
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