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FINRA Disciplinary Actions Online

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Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
SAF2004040801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. SAF2004040801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Access Financial Group, Inc., Respondent CRD No. 33065 Richard Konst, Respondent CRD No. 273746 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, Respondents Access Financial Group, Inc. and Richard Konst submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged AWCs (Letters of Acceptance, Waiver, and Consent)
ACCESS FINANCIAL GROUP, INC.
RICHARD KONST
10/09/2007