Nex Systems
Type not stated

CROSS POINT CAPITAL LLC

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/30/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016047671801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cross Point Capital LLC, Respondent CRD No. 136223 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cross Point Capital LLC ("Cross Point" or the "Firm") 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

    Reference 2016047671801finra.orgdata-portal.finra.org

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.