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FINRA Disciplinary Actions Online

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Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2010021211701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100212117 01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Empire Investments Inc. CRD No. 16763 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Empire Investments Inc. ("Empire" or "the Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is AWCs (Letters of Acceptance, Waiver, and Consent)