Nex Systems
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CRAIG-HALLUM CAPITAL GROUP LLC

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

    07/27/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.## 20050020091-01 TO: Department of Market Regulation NASD RE: Craig-Hallum Capital Group LLC, Respondent Broker-Dealer CRD No. 121395 Pursuant to Rule 9216 of NASD Code of Procedure, Craig-Hallum Capital Group LLC (the "firm") 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 will not

    Reference 2005002009101data-portal.finra.orgfinra.org

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