Nex Systems
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CAPSTONE INVESTMENTS

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

    01/23/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20042000146 TO: Department of Market Regulation NASD RE: Capstone Investments ("CPST") BD No. 41400 Pursuant to Rule 9216 of the NASD Code of Procedure, Capstone Investments 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, NASD will not bring any future actions against the firm based on

    Reference 2004200014601data-portal.finra.orgfinra.org

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