Nex Systems
Type not stated

CAPITAL PATH SECURITIES 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

    08/29/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100253975-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Capital Path Securities, LLC, Respondent Broker-Dealer CRD No. 104363 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Capital Path Securities, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

    Reference 2010025397501data-portal.finra.orgfinra.org

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