Nex Systems
Type not stated

CASTLEOAK SECURITIES LP

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    07/12/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110269381-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: CastleOak Securities, LP, Respondent Broker-Dealer CRD No. 125334 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, CastleOak Securities, LP (the "firm" or "COAK") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below

    Reference 2011026938101finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/24/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090179713-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: CastleOak Securities, LP, Respondent Broker-Dealer CRD No. 125334 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, CastleOak Securities, LP (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

    Reference 2009017971301data-portal.finra.orgfinra.org

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