Nex Systems
Type not stated

FBR Capital Markets and Co.

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

    04/05/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100216429-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: FBR Capital Markets & Co. Respondent Broker-Dealer CRD No. 25027 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, FBR Capital Markets & Co., (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

    Reference 2010021642901data-portal.finra.orgfinra.org

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