INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/11/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120303692-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: International Strategy & Investment Group LLC, Respondent Member Firm BD No. 28195 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent International Strategy & Investment Group LLC ("ISI" of the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC")
Reference 2012030369201data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/21/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039359301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: International Strategy & Investment Group Ll.C (BD No. 28195). Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, International Strategy & Investment Group LLC ("ISI Group" or the "Firm" or "Respondent"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing
Reference 2014039359301data-portal.finra.org finra.org

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