Nex Systems
Type not stated

Curvature Securities 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

    02/06/2025: From February 28, 2023 through October 6, 2023, Curvature failed to accurately calculate its required customer reserve on 32 occasions, resulting in 27 hindsight deficiencies ranging from $20,906 to $6,846,329. The firm’s failure to accurately calculate its customer reserve obligations caused the firm to maintain inaccurate books and records and to make eight FOCUS filings inaccurately reporting its customer reserve. As a result of the foregoing, Curvature violated Sections 15(c) and 17(a) of the Securities Exchange Act of 1934 (the “Exchange Act”), Rules 15c3-3, 17a-3, 17a-4, and 17a-5 thereunder, and FINRA Rules 4511 and 2010.

    Reference 2023077005701data-portal.finra.orgfinra.org

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