Nex Systems
Type not stated

Intercoastal Capital Markets Inc.

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/11/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035305701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Intercoastal Capital Markets, Inc., Respondent Member CRD No. 83 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Intercoastal Capital Markets, Inc. ("Intercoastal") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

    Reference 2013035305701data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.