Nex Systems
Type not stated

Intercarolina Financial Services 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

    07/06/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039275801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Intercarolina Financial Services, inc., Respondent FINRA Member Firm BD No. 19475 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Intercarolina Financial Services, inc. ("lntercarolina") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2014039275801finra.orgdata-portal.finra.org

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