Nex Systems
Type not stated

IDB CAPITAL CORP.

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/25/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION NO. 20050001789-01 TO: Department of Market Regulation NASD RE: IDB Capital Corp., Respondent Broker/Dealer CRD Number 106032 Pursuant to Rule 9216 of NASD Code of Procedure, IDB Capital Corp. ("IDBC" 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 in Part II below. This AWC is submitted on the condition that, if

    Reference 2005000178901data-portal.finra.orgfinra.org

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