Nex Systems
Type not stated

CARLIN EQUITIES CORP.

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

    07/06/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION CLG050090 TO: Department of Market Regulation NASD RE: Carlin Equities Corp., Respondent Broker/Dealer CRD Number 31295 Pursuant to Rule 9216 of NASD Code of Procedure, Carlin Equities Corp. ("CLYP") 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

    Reference CLG050090data-portal.finra.orgfinra.org

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