Nex Systems
Type not stated

E*TRADE CAPITAL MARKETS

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

    12/07/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050033129-02 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: E*Trade Capital Markets, Respondent Broker-Dealer CRD No. 111528 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, E*Trade Capital Markets (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose

    Reference 2005003312902finra.orgdata-portal.finra.org

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