Nex Systems
Type not stated

CLARK STREET CAPITAL INC.

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

    01/13/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C07050005 TO: Department of Enforcement NASD RE: Clark Street Capital, Inc., Respondent Former Member CRD No. 38304 Marco Alfonsi General Securities Principal CRD No. 2770342 Pursuant to Rule 9216 of NASD Code of Procedure, we submit 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.

    Reference C07050005data-portal.finra.orgfinra.org

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