Nex Systems
Type not stated

AIG FINANCIAL ADVISORS 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

    07/13/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006003910901 TO: Department of Enforcement NASD RE: AIG Financial Advisors, Inc., Respondent Member Firm CRD No. 133763 Pursuant to Rule 9216 of NASD Code of Procedure, 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 Respondent

    Reference 2006003910901data-portal.finra.orgfinra.org

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