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Ameritas Investment Company LLC

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

    03/25/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056443101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ameritas Investment Company, LLC, Respondent Member Firm CRD No. 14869 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Ameritas Investment Company, LLC ("Respondent," "Ameritas," 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 below.

    Reference 2018056443101finra.orgdata-portal.finra.org

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