Nex Systems
Type not stated

Edgemont Capital Partners L.P.

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/17/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025721201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Edgemont Capital Partners, L.P., Respondent BD No. 122572 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Edgemont Capital Partners, L.P. ("Edgemont" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2011025721201data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/13/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150433433-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Edgemont Capital Partners, L.P., Respondent BD No. 122572 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, the Respondent, Edgemont Capital Partners, L.P. ("Edgeiilont" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2015043343301finra.orgdata-portal.finra.org

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