Nex Systems
Type not stated

CORPORATE INVESTMENTS GROUP INC

Regulator action

United States. Named in 3 sanctions listings.

Screen this subject

Sanctions and listings3

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/23/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007009924601 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Corporate Investments Group, Inc., Respondent Broker-Dealer CRD No. 38690 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Corporate Investments Group, Inc. (the '"firm" or "CINV") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2007009924601finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/01/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013036292101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Corporate Investments Group, Inc. CRD No. 38690 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, or Corporate Investments Group, Inc. ("CIG") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2013036292101data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/05/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039217501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Corporate Investments Group, Inc., Respondent CRD No. 38690 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

    Reference 2014039217501data-portal.finra.orgfinra.org

Other names1

Also known as1

Corporate Investments Group Inc.

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.