Nex Systems
Type not stated

AMERICAN FUND DISTRIBUTORS 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

    04/30/2008: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. American Fund Distributors, Inc. Los Angeles, CA, Respondent. DECISION Complaint No. CE3050003 Dated: April 30, 2008 Respondent requested or arranged for the direction of a specific amount or percentage of brokerage commissions to other members conditioned upon those members' sales of the respondent's mutual funds. Held, findings and sanctions affirmed.

    Reference CE3050003data-portal.finra.orgfinra.org

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