Nex Systems
Type not stated

ADVISORS ASSET MANAGEMENT INC.

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/07/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011026883101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Advisors Asset Management, Inc., Respondent CRD No. 46727 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Advisors Asset Management, Inc. (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

    Reference 2011026883101data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/11/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140416211-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Advisors Asset Management, Inc., Respondent Broker-Dealer CRD No. 46727 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Advisors Asset Management, Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

    Reference 2014041621101finra.orgdata-portal.finra.org

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