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International Securities Corporation

International Securities Corporation (CRD #36023, New York, New York) received a censure and fine of $2,500, jointly and severally, and fined an additional $12,000. According to the regulators, the firm, while acting through an individual, filed an inaccurate FOCUS report and failed to maintain sufficient net capital while conducting a securities business. Additionally, the NASD found that the firm failed to utilize the services of an independent public accountant to audit its year-end fiscal reports filed with the NASD. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C10010088)

Did International Securities Corporation manage your investments?



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