INTL FCStone Financial Inc.

Regulator action

United States. Named in 5 sanctions listings.

Sanctions and listings5

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/03/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120352150-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: INTL FCStone Financial Inc., Respondent Broker-Dealer CRD No. 45993 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, INTL FCStone Financial Inc. (the "firm'' or "Respondent'') submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose
Reference 2012035215001data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/10/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053820401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: INTL FCStone Financial Inc., Respondent Member Firm CRD No. 45993 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent INTL FCStone Financial Inc. submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2017053820401data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/05/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20130385522-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: INTL FCStone Financial Inc., Respondent Broker/Dealer CRD No. 45993 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, INTL FCStone Financial Inc. ("the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of thé alleged rule violations described below
Reference 2013038552201data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/01/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150475920-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: INTL FCStone Financial Inc., Respondent Broker/Dealer CRD No. 45993 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, INTL FCStone Financial Inc. ("Respondent" or "the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2015047592001data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/22/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 20180593449-01 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: StoneX Financial Inc., f/k/a INTL FCStone Financial Inc. (Respondent) Member Firm CRD No. 45993 Pursuant to FINRA Rule 9216, Respondent StoneX Financial 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
Reference 2018059344901data-portal.finra.org finra.org

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