Nex Systems
Type not stated

FOX CHASE 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

    10/27/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090193325-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Fox Chase Capital Partners, LLC, Respondent Broker-Dealer CRD No. 104087 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Fox Chase Capital Partners, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2009019332501data-portal.finra.orgfinra.org

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