AMERICAN GENERAL SECURITIES INC.
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/24/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E062005001101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: American General Securities Incorporated Member Firm CRD No. 13626 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, American General Securities Incorporated ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the
Reference E062005001101finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/05/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E062003000601 TO: Department of Enforcement NASD RE: American General Securities, Inc. CRD No. 13626 Pursuant to Rule 9216 of NASD Code of Procedure, American General Securities, Inc. ("AGS" or "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 tl below. This AWC is
Reference E062003000601finra.orgdata-portal.finra.org
Other names1
Also known as1
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