Nex Systems
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AXA 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

    02/05/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080116478-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: AXA Advisors, Inc. ("AXA" or the "Respondent") BD No. 6627 Pursuant to FINRA Rule 9216 of FINRA's 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 below. This AWC is submitted on the condition that, if

    Reference 2008011647801data-portal.finra.orgfinra.org

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