Nex Systems
Type not stated

CAPROCK 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

    04/19/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025611201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Caprock Securities, Inc., Respondent CRD Number: 8014 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if

    Reference 2011025611201finra.orgdata-portal.finra.org

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