Avalon Investment & Securities Group, Inc. Fined by FINRA
25 October 2018
An AWC was issued in which the firm was censured, fined $12,000, ordered to pay $1,515, plus interest, in restitution to customers and required to retain an independent consultant to conduct a comprehensive review of the adequacy of the firm’s policies, systems and procedures (written and otherwise) and training relating to the violations identified in the AWC.
