AMERICAN EXPRESS FINANCIAL ADVISORS INC.

Regulator action

United States. Named in 4 sanctions listings.

Sanctions and listings4

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/20/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. EAF0400340002 TO: Department of Enforcement NASD RE: American Express Financial Advisors Inc., Respondent BD No. 6363 Pursuant to Rule 9216 of NASD's Code of Procedure, Respondent American Express Financial Advisors Inc. ("AEFA" or "the firm") 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
Reference EAF0400340002data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/06/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C05050021 TO: Department of Enforcement NASD RE: American Express Financial Advisors Inc., Respondent Broker-Dealer [CRD No. 6363] Pursuant to Rule 9216 of the NASD Code of Procedure, Respondents submit 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 C05050021finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/30/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. EAF0301200002 RE: American Express Financial Advisors Inc., Respondent Member Firm BD No. 6363) Pursuant to Rule 9216 of NASD's Code of Procedure, Respondent American Express Financial Advisors Inc. ("AEFA") 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
Reference EAF0301200002data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/22/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. CRC050001 TO: Department of Enforcement NASD RE: American Express Financial Advisors Inc., Respondent Member Firm BD No. 6363 Pursuant to Rule 9216 of NASD's Code of Procedure, Respondent American Express Financial Advisors Inc. ("AEFA" or "firm''), 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
Reference CRC050001data-portal.finra.org finra.org

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