Nex Systems
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CARLIN EQUITIES 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

    02/09/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.## 20042000248-01 TO: Department of Market Regulation NASD RE: Carlin Equities, LLC, Respondent CRD No. 31295 Pursuant to Rule 9216 of NASD Code of Procedure, Carlin Equities, LLC ("CLYP") or the "firm") 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

    Reference 2004200024801data-portal.finra.orgfinra.org

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