Nex Systems
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HEALTHPOINT CAPITAL ADVISORS 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

    08/02/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ## E1020040191-01 TO: Department of Enforcement NASD RE: HealthPoint Capital Advisors, LLC, Respondent CRD No. 126546 Pursuant to Rule 9216 of NASD Code of Procedure, HealthPoint Capital Advisors, LLC ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any

    Reference E102004019101data-portal.finra.orgfinra.org

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