Brokers International Financial Services LLC

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/05/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066257301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brokers International Financial Services, LLC (Respondent) Member Firm CRD No. 139627 Pursuant to FINRA Rule 9216, Respondent Brokers International Financial Services, LLC (BIF) 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, FJNRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2020066257301data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/26/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038934401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brokers International Financial Services, LLC, Respondent Member Firm CRD No. 139627 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Brokers International Financial Services, LLC ("Brokers Financial" or the "Firm") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of
Reference 2013038934401data-portal.finra.org finra.org

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