Nex Systems
Type not stated

Capitol Securities Management Inc.

Regulator action

United States. Named in 4 sanctions listings.

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Sanctions and listings4

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/10/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012033328401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Capitol Securities Management, Inc., Respondent Member Firm CRD No. 14169 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Capitol Securities Management, Inc. ("Capitol Securities" or "Respondent) submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

    Reference 2012033328401data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    05/25/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052215401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Capitol Securities Management, Inc., Respondent CRD No. 14169 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Capitol Securities Management, Inc. ("Capitol" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

    Reference 2017052215401finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    07/07/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT CLG050098 TO: Department of Market Regulation NASD RE: Capitol Securities Management, Inc., Respondent Broker-Dealer CRD No. 14169 Pursuant to Rule 9216 of NASD Code of Procedure Capitol Securities Management, Inc. ("CSMI" 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 the condition that, if accepted

    Reference CLG050098data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/20/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025548801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Capitol Securities Management, Inc. (BD No. 14169) Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Capitol Securities Management, Inc. ("CSM" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2011025548801finra.orgdata-portal.finra.org

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