Nex Systems
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HIBERNIA INVESTMENTS L.L.C.

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

    08/14/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E052005004101 Department of Enforcement NASD Hibernia Investments, L.L.C. (n/k/a Capital One Investments, LLC), Respondent [CRD No. 17526] Pursuant to Rule 9216 of NASD Code of Procedure, Hibernia Investments, L.L.C. 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

    Reference E052005004101finra.orgdata-portal.finra.org

Other names1

Also known as1

N/K/A CAPITAL ONE INVESTMENTS LLC

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