ADVANCED EQUITIES INC.

Regulator action

United States. Named in 4 sanctions listings.

Sanctions and listings4

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/13/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E8A2004000301 TO: Department of Enforcement NASD RE: Advanced Equities, Inc. Broker-Dealer CRD No. 35545 Pursuant to Rule 9216 of NASD Code of Procedure, Advanced Equities, Inc. ("Respondent") 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 actions against
Reference E8A2004000301data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/06/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008011633601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Advanced Equities, Inc., Respondent (CRD No. 35545) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Advanced Equities, Inc. ("Member") 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 2008011633601data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/17/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006003858201 To: Department of Enforcement NASD Re: Advanced Equities, Inc. Broker Dealer (CRD No. 35545) Pursuant to Rule 9216 of NASD Code of Procedure, Advanced Equities, Inc. ("Respondent") 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 actions against
Reference 2006003858201data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/05/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2012030737501 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA") RE: Advanced Equities, Inc. CRD No. 35545 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Advanced Equities, Inc. (“AEI") 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
Reference 2012030737501data-portal.finra.org finra.org

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