Nex Systems
Type not stated

COMMERCE CAPITAL MARKETS INC.

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

    12/22/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E9A2004003801 TO: Department of Enforcement NASD RE: Commerce Capital Markets, Inc. Respondent CRD No. 6940 Vincent J. Stafford, Respondent CRD No. 501262 Pursuant to Rule 9216 of NASD's Code of Procedure, Respondents Commerce Capital Markets, Inc. ("CCMT") and Vincent J. Stafford ("Stafford") (collectively called "Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference E9A2004003801data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/25/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050003239 TO: Department of Market Regulation NASD RE: Commerce Capital Markets, Inc. - Respondent Broker Dealer CRD No. 6940 Pursuant to Rule 9216 of the NASD Code of Procedure, Commerce Capital Markets, Inc. ("the firm" or "CCMI") submits 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. This AWC is submitted on the condition that, if accepted, NASD

    Reference 2005000323903data-portal.finra.orgfinra.org

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