Nex Systems
Type not stated

CVCapital 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

    12/29/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065570301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: CVCapital Securities, LLC (Respondent) Member Firm CRD No. 152765 Pursuant to FINRA Rule 9216, Respondent CVCapital Securities, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2020065570301finra.orgdata-portal.finra.org

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