Nex Systems
Type not stated

GLOBAL OAK CAPITAL MARKETS 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

    07/06/2017: FINANCIAL INDUSTRY REGULARTORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160492036-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Global Oak Capital Markets LLC, Respondent Broker-Dealer CRD No. 125860 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Global Oak Capital Markets LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC")

    Reference 2016049203601finra.orgdata-portal.finra.org

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