Nex Systems
Type not stated

INTERCAPITAL SECURITIES LLC

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

    10/13/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION 20050001493-01 TO: Department of Market Regulation NASD RE: Intercapital Securities LLC, Respondent Broker/Dealer CRD Number 20004 Pursuant to Rule 9216 of NASD Code of Procedure, Intercapital Securities LLC ("ICPS" 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

    Reference 2005000149301data-portal.finra.orgfinra.org

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