BANORTE SECURITIES INTERNATIONAL LTD.
Regulator actionUnited States. Named in 3 sanctions listings.
Sanctions and listings3
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/28/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010025241301 TO: Department of Enforcement Financial industry Regulatory Authority ("FINRA") RE: Banorte-lxe Securities International, Ltd., Respondent Broker-Dealer CRD No. 30648 Brian Anthony Simmons, Respondent Former Registered Principal CRD No. 4349344 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents Banorte-lxe Securities International, Ltd. ("Banorte Securities" or the "Firm") and Brian Anthony
Reference 2010025241301data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/20/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E1020050483-02 TO: Department of Enforcement NASD RE: Banorte Securities International, Ltd., Respondent BD No. 30648 Pursuant to Rule 9216 of NASD Code of Procedure, Banorte Securities International, Ltd., ("Banorte" or "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
Reference E102005048302data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/16/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007608341901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Banorte Securities International, Ltd., Respondent Member Firm BD No. 30648 Pursuant to Rule 9216 of FINRA Code of Procedure, Banorte Securities International, Ltd. (Respondent or BSI), submits this Letter of Acceptance, Waiver and Consent (AWC) for the
Reference 2007008341901finra.orgdata-portal.finra.org
Other names1
Also known as1
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