Nex Systems
Type not stated

CAPITAL PATH 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

    01/28/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, V. CAPITAL PATH SECURITIES, INC. (CRD No. 104363), AND WILLIAM JOHN DAVIS (CRD No. 1247007), RESPONDENTS. DISCIPLINARY PROCEEDING No. 2011025869201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between approximately June 2008 and February 2013, Capital Path Securities, Inc. ("Capital Path"), through William John Davis ("Davis"), the firm's Anti-Money Laundering Compliance Officer

    05/08/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, V. CAPITAL PATH SECURITIES, INC. (CRD No. 104363), AND WILLIAM JOHN DAVIS (CRD No. 1247007), RESPONDENTS. DISCIPLINARY PROCEEDING No. 2011025869201 Hearing Officer - DRS ORDER ACCEPTING OFFER OF SETTLEMENT Date: May 8, 2014 INTRODUCTION Disciplinary Proceeding No. 2011025869201 was filed on January 28, 2014, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)

    Reference 2011025869201data-portal.finra.orgdata-portal.finra.orgfinra.org

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