Insight Securities Inc.

Regulator action

United States. Named in 3 sanctions listings.

Sanctions and listings3

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/10/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059661001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Insight Securities, Inc. (Respondent) Member Firm CRD No. 5611 Pursuant to FINRA Rule 9216, Respondent Insight Securities, Inc., 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, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2018059661001data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/12/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071926701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Insight Securities, Inc. (Respondent) Member Firm CRDNo. 5611 Pursuant to FINRA Rule 9216, Respondent Insight Securities, Inc. 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, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2021071926701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/17/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016052226801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Insight Securities, Inc., Respondent Member Firm CRD No. 5611 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Insight Securities, Inc. ("Insight Securities" 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 2016052226801data-portal.finra.org finra.org

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