Nex Systems
Type not stated

Highlander Capital Group Inc.

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/03/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025562401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Highlander Capital Group, Inc., Respondent Member Firm CRD No. 19074 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 submitted on the condition

    Reference 2011025562401data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    05/19/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069357901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Highlander Capital Group, Inc. (Respondent) Member Firm CRD No. 19074 Pursuant to FINRA Rule 9216, Respondent Highlander Capital Group, Inc. 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 submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

    Reference 2021069357901data-portal.finra.orgfinra.org

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