Nex Systems
Type not stated

AVALON PARTNERS INC.

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/11/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008011647001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Avalon Partners, Inc. BD No. 41357 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Avalon Partners, Inc. ("Respondent" or "Avalon" or "the Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

    Reference 2008011647001finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/31/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006003682401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Avalon Partners, Inc. (BD No. 41357) Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Respondent Avalon Partners, Inc. (hereinafter "Avalon" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

    Reference 2006003682401data-portal.finra.orgfinra.org

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