FMSBONDS INC

03/02/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150439505-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: FMSbonds, Inc., Respondent Broker-Dealer CRD No. 7793 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, FMSbonds, Inc. (the "firm" or "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 2015043950501data-portal.finra.orgfinra.org

03/08/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060053503-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: FMSbonds, Inc., Respondent Broker-Dealer CRD No. 7793 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, FMSbonds, Inc. (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. This AWC is submitted on the

Reference 2006005350301data-portal.finra.orgfinra.org

05/21/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008011689301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: FMSbonds, Inc.. Respondent Member Firm CRD No. 7793 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent FMSbonds. Inc., ("FMS" or "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 2008011689301data-portal.finra.orgfinra.org

09/11/2026: Between October 2021 and December 2024, FMS violated FINRA Rules 2121 and 2010 by charging unfair prices in 115 corporate bond transactions. During the same period, and continuing through the present, the firm failed to establish and maintain a supervisory system reasonably designed to achieve compliance with its fair pricing obligations relating to corporate bonds, in violation of FINRA Rules 3110 and 2010. For these violations, FMS is censured, fined $130,000, and required to certify that it has remediated the issues identified in this AWC.

Reference 2022074413301finra.orgdata-portal.finra.org

12/06/2013: FINANCIAL INDUSTRYREGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100227218-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: FMSbonds, Inc., Respondent Broker-Dealer CRD No. 7793 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure. FMSbonds, inc. ("MIAM" 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. This AWC is

Reference 2010022721801data-portal.finra.orgfinra.org

05/10/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009019191401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: FMSbonds, Inc., Respondent Member Firm CRD No. 7793 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent FMSbonds, Inc., ("FMS" or "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 2009019191401data-portal.finra.orgfinra.org