Nex Systems
Type not stated

CAPITAL INVESTMENT BROKERAGE 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

    11/22/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007011222001 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Capital Investment Brokerage, Inc., Respondent Broker-Dealer CRD No. 40657 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Capital Investment Brokerage, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the

    Reference 2007011222001data-portal.finra.orgfinra.org

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