Nex Systems
Type not stated

FORGE 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

    10/31/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION 20042000142-01 TO: Department of Market Regulation NASD RE: Forge Financial Group, Inc., Respondent Broker/Dealer CRD Number 100020 Pursuant to Rule 9216 of NASD Code of Procedure, Forge Financial Group, Inc. ("FRGP") 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

    Reference 2004200014201finra.orgdata-portal.finra.org

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