Nex Systems
Type not stated

H2C Securities Inc.

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

    03/29/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070970501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: H2C Securities Inc. (Respondent) Member Firm CRD No. 7169 Pursuant to FINRA Rule 9216, Respondent H2C Securities Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2021070970501data-portal.finra.orgfinra.org

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