Nex Systems
Type not stated

INTERCONTIENTAL ASSET MANAGEMENT GROUP LTD.

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

    12/30/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WNVER AND CONSENT NO. 2014039092801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Intercontinental Asset Management Group, Ltd., Respondent Member Firm CRD No. 22408 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Intercontinental Asset Management Group, Ltd. ("Intercontinental," the ''Firm," or "Respondent"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for

    Reference 2014039092801data-portal.finra.orgfinra.org

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