Nex Systems
Type not stated

INTERVEST SECURITIES CORPORATION

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

    08/04/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E102004087101 TO: Department of Enforcement NASD RE: Intervest Securities Corporation, Respondent BD No. 41799 Pursuant to Rule 9216 of NASD Code of Procedure, Respondent, Intervest Securities Corporation, (hereinafter "Intervest" or "Respondent") 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 E102004087101data-portal.finra.orgfinra.org

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