Nex Systems
Type not stated

CAPITAL PORTFOLIO MANAGEMENT INC.

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/18/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION 20050022304-01 TO: Department of Market Regulation NASD RE: Capital Portfolio Management, Inc., Respondent Broker/Dealer CRD Number 29302 Pursuant to Rule 9216 of NASD Code of Procedure, Capital Portfolio Management, Inc. ("CPMI" or "the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on

    Reference 2005002230401finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/09/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035121101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Capital Portfolio Management, lnc. (BD No. 29302), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Capital Portfolio Management, Inc. (''CPMI" or the "Firm" or "Respondent"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2013035121101finra.orgdata-portal.finra.org

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