Columbus Advisory Group LTD.
Regulator actionUnited States. Named in 4 sanctions listings.
Sanctions and listings4
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/24/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008011806301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Olympia Asset Management, Ltd. BD No. 126331 Tim Poulos CRD No. 2755566 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the
Reference 2008011806301data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/11/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ## E1020050327-01 TO: Department of Enforcement NASD RE: Olympia Asset Management, Ltd. (BD No. 126331) Pursuant to Rule 9216 of NASD Code of Procedure, Respondent Olympia Asset Management, Ltd. (hereinafter "Olympia") 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 not
Reference E102005032701data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/23/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2012032017401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Columbus Advisory Group, Ltd. (f/k/a Olympia Asset Management, Ltd.) BD No. 126331 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Columbus Advisory Group, Ltd. ("Columbus", "Respondent", or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC")
Reference 2012032027401data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/25/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010020992501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Olympia Asset Management, LTD., Respondent Member Firm CRD No. 126331 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Olympia Asset Management, LTD. 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
Reference 2010020992501finra.orgdata-portal.finra.org
Other names1
Also known as1
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