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Intersecurities, Inc.

Intersecurities, Inc. (CRD #16164, St. Petersburg, Florida) received a censure and fine of $125,000. According to the findings, the firm failed to provide for identification of correspondence as customer complaints and, therefore, failed to report certain customer complaints; and that the firm failed to maintain and preserve in each office of supervisory jurisdiction all written customer complaints in either a separate file of customer complaints and action taken by the firm, if any, or a separate record of such complaints, and a clear reference to the files containing the correspondence connected with such complaints as maintained in each office. Additionally, the regulators found that the firm failed to conduct adequate supervisory reviews of the complaint-handling process and did not provide sufficient guidelines for conducting, tracking, and documenting customer complaint investigations. The firm accepted the fine and censure but did not admit or deny the accusations.

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