BRECEK & YOUNG ADVISORS INC.
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/10/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008015068501 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Brecek & Young Advisors, Inc., Respondent (CRD No. 40395 / BDW filed on July 6, 2010) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Brecek & Young Advisors, Inc. ("BYA" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2008015068501finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/03/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080115744-01 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brecek & Young Advisors, Inc., Respondent Member Firm CRD No. 40395 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Brecek & Young Advisors, Inc. 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 submitted on
Reference 2008011574401data-portal.finra.orgfinra.org
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