FINRA Disciplinary Actions Online

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Case ID Case Summary Document Type Firms/ Individuals Action Datesort ascending
Case ID 2016049977201 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049977201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Park Avenue Securities LLC, Respondent CRD No. 46173 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Park Avenue Securities LLC ("PAS" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Firms/ Individuals
Park Avenue Securities LLC
Action Date 07/16/2019