Financial West Group

Regulator action

United States. Named in 5 sanctions listings.

Sanctions and listings5

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/31/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010021133001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Financial West Group, Respondent Member Firm CRD No. 16668 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Financial West Group (FWG 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 below. This AWC
Reference 2010021133001data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/17/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042263601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Financial West Group, Respondent Member Firm CRD No. 16668 Gene C. Valentine Registered Representative CRD No. 1079871 Pursuant to FINRA Rule 9216 of FINRA's 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
Reference 2014042263601data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/16/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140430508-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Financial West Group, Respondent Broker-Dealer CRD No. 16668 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Financial West Group (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose ofproposing a settlement of the alleged rule violations
Reference 2014043050801data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/07/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120347043-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Financial West Group, Respondent Broker-Dealer CRD No. 16668 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Financial West Group (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing
Reference 2012034704301data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/06/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO, 2016049051501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FlNRA") RE: Financial West Group. Respondent CRD No. 16668 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent 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
Reference 2016049051501data-portal.finra.org finra.org

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