Nex Systems
Type not stated

INTERCOASTAL FINANCIAL SERVICES CORP.

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    02/08/2006: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Intercoastal Financial Services Corp., CRD No. 45557, and John J. Delaney, CRD No, 64352. Respondents. Disciplinary Proceeding No. EAF0300770001 Hearing Officer COMPLAINT Upon information and belief, Complainant, the Department of Enforcement, alleges as follows: SUMMARY 1. From at least January 2000 to February 2004 (the "relevant period"), Intercoastal Financial Services Corp. ("Intercoastal"), a Florida broker-dealer, violated

    Reference EAF0300770001finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/08/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION 20050004902-01 TO : Department of Market Regulation NASD RE: Intercoastal Financial Services Corp., Respondent Broker/Dealer CRD Number 45557 Pursuant to Rule 9216 of NASD Code of Procedure, Intercoastal Financial Services Corp. ("IFSC" or "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

    Reference 2005000490201data-portal.finra.orgfinra.org

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