Nex Systems
Type not stated

CAPITAL ONE INVESTING 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

    11/28/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013039465901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Capital One Investing, LLC, Respondent Member Firm CRD No. 45744 Pursuant to FINRA Rule 9216 of FTNRA's Code of Procedure, Capital One Investing, LLC ("Capital One" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2013039465901data-portal.finra.orgfinra.org

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