Nex Systems
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CASTLE CREEK FINANCIAL 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

    05/16/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C02050038 TO: Department of Enforcement NASD RE: Castle Creek Financial, LLC, Member Firm CRD No. 39063 Pursuant to Rule 9216 of NASD Code of Procedure, Castle Creek Financial, LLC ("Castle Creek" or "Respondent") 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

    Reference C02050038data-portal.finra.orgfinra.org

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