Nex Systems
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Central States Capital Markets 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

    06/22/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048239701 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Central States Capital Markets, LLC, Respondent Member Firm CRD No. 155291 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Central States Capital Markets, LLC (“Central States” or the “Firm”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a

    Reference 2016048239701data-portal.finra.orgfinra.org

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