Nex Systems
Type not stated

ITRADEDIRECT.COM

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

    02/11/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE or HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. ITRADEDIRECT.COM (CRD NO 18281), RESPONDENT. DISCIPLINARY PROCEEDING COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During 2008 through 2010, ITRADEDIRECT.com ("iTrade") operated a boiler room out of its Selden, New York office. Registered representatives at the firm routinely cold-called

    06/28/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant v. ITRADEDIRECT.COM (CRD No. 18281), Respondent. Disciplinary Proceeding No. 2009016159101 Hearing Officer - LBB DEFAULT DECISION Dated: June 28, 2011 Respondent is expelled for opening accounts without customer authorization and making unauthorized trades in customers' accounts; making unsuitable recommendations; maintaining falsified books and records; and fraudulently

    Reference 2009016159101data-portal.finra.orgfinra.orgdata-portal.finra.org

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