Nex Systems
Type not stated

INTERCOASTAL FINANCIAL SERVICE CORP.

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

    11/15/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20042000090-01 TO: Department of Market Regulation NASD RE: Intercoastal Financial Services Corp., Respondent Broker-Dealer CRD No. 45557 Pursuant to Rule 9216 of the NASD Code of Procedure, Intercoastal Financial Services Corp.("IFSC" 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 that, if

    Reference 2004200009001data-portal.finra.orgfinra.org

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