Nex Systems
Type not stated

DLS CAPITAL PARTNERS 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

    10/05/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016266201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: DLS Capital Partners, LLC Member CRD No. 37155 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below

    Reference 2009016266201data-portal.finra.orgfinra.org

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