ALTON SECURITIES GROUP INC.

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/09/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007007325201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alton Securities Group Inc. (CRD No. 39639) Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Alton Securities Group Inc. ("Respondent") 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 submitted on the
Reference 2007007325201data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/18/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035045903 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alton Securities Group, Inc., Respondent Registered Broker-Dealer CRD No. 39639 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Alton Securities Group, Inc. (''Alton" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2013035045903data-portal.finra.org finra.org

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