Nex Systems
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Corecap Investments 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

    11/29/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053505901 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Corecap Investments, Inc. CRD No. 37068 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Corecap Investments, Inc. (“Corecap” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2017053505901finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    07/27/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048224701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Corecap Investments, Inc., Respondent CRD No. 37068 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,

    Reference 2016048224701data-portal.finra.orgfinra.org

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