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Atlas One Financial Group LLC

Regulator action

United States. Named in 3 sanctions listings.

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Sanctions and listings3

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    05/08/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110298473-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Atlas One Financial Group, LLC, Respondent Broker-Dealer CRD No. 124057 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Atlas One Financial Group, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

    Reference 2011029847301data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    05/08/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025673201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Atlas One Financial Group, LLC, Respondent CRD No. 124057 Napoleon Arturo Aponte, Respondent General Securities Representative CRD No. 3051313 Pursuant to FINRA Rule 9216 of FINRA's Code of procedure, Respondents Atlas One Financial Group, LLC ("Atlas One") and Napoleon Arturo Aponte ("Aponte") submit this Letter of Acceptance,

    Reference 2011025673201data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/03/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140425654-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Atlas One Financial Group, LLC, Respondent Broker-Dealer CRD No. 124057 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Atlas One Financial Group, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2014042565401data-portal.finra.orgfinra.org

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