Nex Systems
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CHAPIN DAVIS INC

Regulator action

United States. Named in 3 sanctions listings.

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Sanctions and listings3

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/29/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT0NO. 20070099245-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") R: Chapin Davis, Inc., Respondent Broker-Dealer CRD No. 28116 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Chapin Davis, Inc. (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 is submitted

    Reference 2007009924501finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/30/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010021065701 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Chapin Davis, Inc., Respondent Member Firm BD No. 28116 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent 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 is submitted on the condition that, if

    Reference 2010021065701data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/16/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012030601701 TO: Department of Enforcement Financial industry Regulatory Authority (''FINRA") RE: Chapin Davis (BD No. 28116), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Chapin Davis 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 is submitted on the condition that, if accepted, FINRA

    Reference 2012030601701data-portal.finra.orgfinra.org

Other names1

Also known as1

CHAPIN DAVIS INC.

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