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FINRA Disciplinary Actions Online

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Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
E8A2004000101 NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E8A2004000101 TO: Department of Enforcement NASD RE: Access Financial Group, Inc. CRD No. 33065) Pursuant to Rule 9216 of NASD 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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will AWCs (Letters of Acceptance, Waiver, and Consent)