Crews & Associates Inc.
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/30/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039416301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Crews & Associates, Inc., Respondent Member Firm CRD No. 8052 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Crews & Associates, Inc. (hereinafter, "Crews," "Firm", or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC")
Reference 2014039416301finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/16/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072487002 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Crews & Associates, Inc. (Respondent) Member Firm CRD No. 8052 Pursuant to FINRA Rule 9216, Respondent Crews & Associates, 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 the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2021072487002data-portal.finra.orgfinra.org
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