SMF Trading Inc.
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/27/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130371837-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: SMF Trading, Inc. d/b/a World-Xecution Strategies, Respondent Broker-Dealer CRD No. 134645 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, SMF Trading, Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the
Reference 2013037183701data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/29/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012031480722 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Simon Librati, Respondent Associated Person (CRD No. 4155156) SMF Trading, Inc. d/b/a World-Xecution Strategies, Respondent Broker-Dealer (CRD No. 134645) Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondents Simon Librati and SMF Trading, Inc. d/b/a World-Xecution Strategies ("World-Xecution")
Reference 2012031480722data-portal.finra.orgfinra.org
Other names1
Also known as1
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