Nex Systems
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Healthios 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

    11/15/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160482280-01 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Healthios Capital Markets, LLC, Respondent Member Firm BD No. 115542 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Healthios Capital Markets, LLC submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2016048228001data-portal.finra.orgfinra.org

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