Nex Systems
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DIVINE CAPITAL MARKETS 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

    04/07/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C10050016 TO: Department of Enforcement NASD RE: Divine Capital Markets LLC [BD No. 118212] Pursuant to Rule 9216 of NASD Code of Procedure, Divine Capital Markets LLC ("Respondent") 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 bring any future

    Reference C10050016finra.orgdata-portal.finra.org

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