Nex Systems
Type not stated

Avalon Investment & Securities 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

    10/25/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016047823901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Avalon Investment & Securities Group, Inc., Respondent Member Firm CRD No. 6281 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Avalon Investment & Securities Group, Inc. ("Avalon" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the

    Reference 2016047823901finra.orgdata-portal.finra.org

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