Nex Systems
Type not stated

CAPSTONE ASSET PLANNING COMPANY

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

    08/23/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012030897101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Capstone Asset Planning Company, Respondent CRD No. 14970 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Capstone Asset Planning Company ("CAPCO") submits this Letter of Acceptance, Waiver and Consent ("AWC”) for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2012030897101data-portal.finra.orgfinra.org

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