Nex Systems
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INDIANA MERCHANT BANKING AND BROKERAGE CO INC

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

    03/20/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035053701 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Indiana Merchant Banking and Brokerage Co., Respondent Member Firm CRD No. 16315 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Indiana Merchant Banking and Brokerage Co. ("Respondent" or "Indiana Merchant") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

    Reference 2013035053701data-portal.finra.orgfinra.org

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