Nex Systems
Type not stated

CBG FINANCIAL 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

    08/01/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010021106701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: CBG Financial Group, Inc., Respondent Member CRD No. 6578 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, CBG Financial Group, Inc. submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violation described below.

    Reference 2010021106701data-portal.finra.orgfinra.org

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