EMPIRE FINANCIAL GROUP INC.

Regulator action

United States. Named in 5 sanctions listings.

Sanctions and listings5

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/30/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005000450504 TO: Department of Enforcement NASD RE: Empire Financial Group, Inc., Respondent NASD Member CRD No. 28759 George R. Cupples Financial and Operations Principal CRD No. 4029475 Pamela C. Ohab Financial and Operations Principal CRD No. 2700308 Pursuant to Rule 9216 of NASD Code of Procedure, Respondents Empire Financial Group, George R. Cupples and Pamela C. Ohab (collectively, "Respondents") submit this Letter of Acceptance, Waiver and Consent
Reference 2005000450504data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/06/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050000667-01 TO: Department of Market Regulation NASD RE: Empire Financial Group, Inc., Respondent Broker-Dealer CRD No. 28759 Pursuant to Rule 9216 of NASD Code of Procedure, Empire Financial Group, Inc. ("EFGI" or "firm") submits 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
Reference 2005000066701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/12/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005000115801 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Empire Financial Group, Inc., Respondent Broker/Dealer CRD Number 28759 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Empire Financial Group, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2005000115801data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/07/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT CLG050092 TO: Market Regulation Department NASD RE: Empire Financial Group, Inc., Respondent Broker-Dealer CRD No. 28759 Pursuant to Rule 9216 of NASD Code of Procedure, Empire Financial Group. Inc. ("EFGF" 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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any
Reference CLG050092data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/31/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20042000256-01 TO: Market Regulation Department NASD RE: Empire Financial Group, Inc., Respondent Broker-Dealer CRD No. 28759 Pursuant to Rule 9216 of NASD Code of Procedure, Empire Financial Group, Inc. ("EFGI") submits 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
Reference 2004200025601data-portal.finra.org finra.org

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