Nex Systems
Type not stated

CAPITAL ONE SHAREBUILDER 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

    07/13/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130363055-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Capital One Sharebuilder, Inc., Respondent Broker-Dealer CRD No. 45744 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Capital One Sharebuilder, Inc. "Respondent," "NSIC" or the "Firm") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose

    Reference 2013036305501data-portal.finra.orgfinra.org

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