AMSOUTH INVESTMENT SERVICES INC.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/24/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E052004025802 Department of Enforcement NASD AmSouth Investment Services, Inc., Respondent [CRD No. 15692] Pursuant to Rule 9216 of NASD Code of Procedure, AmSouth Investment Services, Inc. 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
Reference E052004025802data-portal.finra.orgfinra.org
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