Nex Systems
Type not stated

AMBASSADOR FINANCIAL GROUP INC.

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    02/02/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041623501 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Ambassador Financial Group, Inc., Respondent Broker-Dealer CRD No. 143093 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Ambassador Financial Group, Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2014041623501data-portal.finra.orgfinra.org

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