Lavaflow Inc.

Regulator action

United States. Named in 4 sanctions listings.

Sanctions and listings4

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/25/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090189702-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: LavaFlow, Inc., Respondent Broker-Dealer CRD No. 120444 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent LavaFlow, Inc., ("FLOW" 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
Reference 2009018970201data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/27/2014: FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120316465-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Lavaflow, Inc., Respondent Broker-Dealer CRD No. 120444 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Lavaflow, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2012031646501data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/27/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080134326-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: LavaFlow, Inc., Respondent Broker-Dealer CRD No. 120444 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent LavaFlow, Inc., ("FLOW" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing
Reference 2008013432601data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/19/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2006004615601 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Lavaflow, Inc., Respondent (f/k/a/ Ontrade, Inc.) Broker-Dealer CRD No. 120444 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Lavaflow, Inc. (f/k/a/ Ontrade, Inc.) (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2006004615601data-portal.finra.org finra.org

Other names1

Also known as1

ONTRADE INC.

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