Nex Systems
Type not stated

CG Compass 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

    12/21/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2013038311501 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: CG Compass (USA) LLC, Respondent Member Firm BD No. 129837 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent CG Compass (USA) LLC (“CG Compass” or the “Firm”) submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2013038311501data-portal.finra.orgfinra.org

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