Nex Systems
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BANCA IMI SECURITIES CORP

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

    05/15/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE , WAIVER AND CONSENT NO. 20080116545-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Banca Imi Securities Corp. ("Banca Imi" or "Respondent" or the "Firm") (BD No. 19418) 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

    Reference 2008011654501data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/01/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038353001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Banca IMI Securities Corp., Respondent CRD No. 19418 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Banca IMI Securities Corp. (''Banca IMI" 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 below.

    Reference 2013038353001finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/13/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110298827 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA”) RE: Banca IMI Securities Corp., Respondent CRD No. 19418 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.

    Reference 2011029882701data-portal.finra.orgfinra.org

Other names1

Also known as1

BANCA IMI SECURITIES CORP.

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