Nex Systems
Type not stated

CAPITAL MANAGEMENT SECURITIES 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

    11/12/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039170101 TO: Department of Enforcement Financial Industry Authority ("FINRA") RE: Capital Management Securities, Inc., Respondent Member Firm CRD No. 10579 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Capital Management Securities, Inc. ("CSMI" or "Respondent") submits this Letter of Acceptance, Waiver

    Reference 2014039170101data-portal.finra.orgfinra.org

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