Nex Systems
Type not stated

CRUCIBLE CAPITAL GROUP

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

    08/11/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Crucible Capital Group. (BD No. 133542) Respondent Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Crucible Capital Group (BD No. 133542) ("Respondent" or "Crucible") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2006006657801data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/26/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. CRUCIBLE CAPITAL GROUP (BD No. 133542), and Respondents. Disciplinary Proceeding No. 2008011705901 Hearing Officer - LBB ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 26, 2011 INTRODUCTION Disciplinary Proceeding No. 20080111705901 was filed on September 22, 2010, by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA")("Complainant"). Respondents Crucible

    Reference 2008011705901data-portal.finra.orgfinra.org

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