Isaak Bond Investments Inc.

Regulator action

United States. Named in 3 sanctions listings.

Sanctions and listings3

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/27/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070113837-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Isaak Bond Investments, Inc., Respondent Broker-Dealer CRD No. 7413 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Isaak Bond Investments, Inc., ("IAAK" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2007011383701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/07/2025: In March 2022, IBI conducted a securities business while failing to maintain its minimum required net capital. As a result, IBI violated the Securities Exchange Act of 1934 § 15(c), Exchange Act Rule 15c3-1, and FINRA Rules 4110 and 2010. During the same period, the firm recorded its net capital inaccurately on its books and records, and filed inaccurate FOCUS reports, in violation of Exchange Act§ 17(a), Exchange Act Rules 17a-3 and 17a-5, and FINRA Rules 4511 and 2010. The firm also failed to timely file the required financial notification reporting its net capital deficiency, in violation of Exchange Act§ 17(a), Exchange Act Rule 17a-11, and FINRA Rule 2010. In addition, between January 2018 and the present, IBI failed to conduct an annual independent test of the firm's AML compliance program, in violation of FINRA Rules 3310 and 2010. For these violations, IBI is censured and fined $20,000...
Reference 2021069328101data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/15/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090186430-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Isaak Bond Investments, Inc., Respondent Broker-Dealer CRD No. 7413 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Isaak Bond Investments, Inc., ("IAAK" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2009018643001data-portal.finra.org finra.org

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