Nex Systems
Type not stated

INTRADE LLC

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

    09/08/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO 20050017006-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Intrade, LLC, Respondent CRD No. 104047 Pursuant to Rule 9216 of FINRA Code of Procedure, Intrade, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of

    Reference 2005001700601finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    07/11/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050002091-01 TO: Department of Market Regulation NASD RE: InTrade, LLC, Respondent Broker-Dealer CRD No. 104047 Pursuant to Rule 9216 of NASD Code of Procedure, InTrade, LLC (the "firm" or "INNT") 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

    Reference 2005000209101data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    03/23/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080123271-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Intrade, LLC, Respondent Broker-Dealer CRD No. 104047 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Intrade, LLC (the "firm'') submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the

    Reference 2008012327101finra.orgdata-portal.finra.org

Other names1

Also known as1

INTRADE LLC.

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