Nex Systems
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CARMINE C. CAPONE

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

    10/20/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038756502 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: The GMS Group. LLC, Respondent Member Firm CRD No. 8000 Carmine C. Capone General Securities Sales Supervisor CRD No. 1124455 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents submit this Letter of Acceptance, Waiver and Consent ("AWC")

    Reference 2013038756502data-portal.finra.orgfinra.org

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