Forethought Distributors LLC
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/26/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038584601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Forethought Distributors, LLC, Respondent ("Forethought" or ''the Firm") Member Firm CRD No. 8326 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Forethought Distributors LLC ("Forethought" or "the Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing
Reference 2013038584601data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/07/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010024617701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA'') RE: Hartford Investment Financial Services, LLC Respondent CRD No. 45995 and Hartford Life Distributors, LLC, n/k/a Forethought Distributors, LLC Respondent CRD No. 8326 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Hartford Investment Financial Services, LLC and Hartford Life Distributors, LLC (collectively, the
Reference 2010024617701finra.orgdata-portal.finra.org
Other names2
Also known as2
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