Nex Systems
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CAPSTONE GLOBAL MARKETS 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

    06/10/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090200991-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Capstone Global Markets, LLC, Respondent Broker-Dealer CRD No. 143612 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Capstone Global Markets, LLC, (the "firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

    Reference 2009020099101data-portal.finra.orgfinra.org

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