Nex Systems
Type not stated

HALEN CAPITAL MANAGEMENT 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

    03/02/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038612301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Halen Capital Management, Inc., Respondent Member Firm CRD No. 135966 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent. 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

    Reference 2013038612301data-portal.finra.orgfinra.org

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