AUTO CLUB FUNDS INC.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/01/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E8A2004030401 TO: Department of Enforcement NASD RE: Auto Club Funds, Inc. (CRD No. 10580) Pursuant to Rule 9216 of NASD Code of Procedure, Auto Club Funds, Inc., ("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 II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against Respondents
Reference E8A2004030401data-portal.finra.orgfinra.org
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