Nex Systems
Type not stated

AVALON RESEARCH 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

    09/28/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E072004009801 TO: Department of Enforcement NASD RE: Avalon Research Group, Inc., Respondent Broker-Dealer [CRD No. 39815] Pursuant to Rule 9216 of the NASD Code of Procedure, Respondents submit 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 us

    Reference E072004009801data-portal.finra.orgfinra.org

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