Nex Systems
Type not stated

Growth Capital Services 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

    01/15/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060721801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Growth Capital Services, Inc. (Respondent) Member Firm CRD No. 124658 Pursuant to FINRA Rule 9216, Respondent Growth Capital Services, 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 2019060721801data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/29/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013034981501 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Growth Capital Services, Inc., Respondent CRD No. 124658 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Growth Capital Services, Inc. (“Growth Capital” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged

    Reference 2013034981501finra.orgdata-portal.finra.org

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