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FINRA Disciplinary Actions Online

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Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2006003858001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006003858001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Access Financial Group, Inc. (CRD No. 33065) Pursuant to Rule 9216 of FINRA Code of Procedure, Access Financial Group, Inc. (hereinafter collectively referred to as "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described AWCs (Letters of Acceptance, Waiver, and Consent)