Nex Systems
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HFP CAPITAL MARKETS LLC

Regulator action

United States. Named in 3 sanctions listings.

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Sanctions and listings3

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/25/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010024522105 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: HFP Capital Markets LLC, Respondent BD No. 4435 Pursuant to FINRA Rulc 9216 of FINRA's Code of Procedure, Respondent HFP Capital Markets LLC ("Respondent" or "HFP") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

    Reference 2010024522105data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/19/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100234554-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: HFP Capital Markets LLC, Respondent Broker-Dealer CRD No. 44351 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, HFP Capital Markets LLC (the "firm") 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 2010023455401finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/09/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090193202-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: HFP Capital Markets, LLC, Respondent Member Firm CRD No. 44351 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent HFP Capital Markets, LLC ("HFP" or "the Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2009019320201finra.orgdata-portal.finra.org

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