Nex Systems
Type not stated

EQUITY STATION INC.

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

    08/22/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010021256001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Equity Station, Inc., Respondent Member CRD No. 103620 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Equity Station, Inc. submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the

    Reference 2010021256001data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/20/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090205461 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Equity Station Inc., Respondent CRD No. 103620 Pursuant to Rule 9216 of FINRA's Code of Procedure, Equity Station Inc. ("Equity Station" or the "Firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on

    Reference 2009020546101data-portal.finra.orgfinra.org

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