Nex Systems
Type not stated

GLOBAL CROWN CAPITAL 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

    03/03/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060037540-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Global Crown Capital, LLC, Respondent CRD No. 16761 Financial and Operations Principal CRD No. Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Global Crown Capital, LLC (GCC) and (together, Respondents) submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

    Reference 2006003754001data-portal.finra.orgfinra.org

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