Nex Systems
Type not stated

INTL TRADING INC.

Regulator action

United States. Named in 3 sanctions listings.

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Sanctions and listings3

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/05/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050030714-01 TO: Department of Market Regulation NASD RE: INTL Trading, Inc., Respondent Broker/Dealer CRD No. 45993 Pursuant to Rule 9216 of the NASD Code of Procedure, INTL Trading, Inc. ("INTL" 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 accepted, NASD will not bring any

    Reference 2005003071401data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/10/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080146716-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: INTL Trading, Inc., Respondent Broker-Dealer CRD No. 45993 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, INTL Trading, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2008014671601data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/08/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE. WAIVER AND CONSENT NO. 20060039724-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: INTL Trading, Inc., Respondent Broker-Dealer [CRD No. 45993] Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, INTL Trading, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2006003972401data-portal.finra.orgfinra.org

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