HARTFORD INVESTMENT FINANCIAL SERVICES LLC
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/07/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010024617701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA'') RE: Hartford Investment Financial Services, LLC Respondent CRD No. 45995 and Hartford Life Distributors, LLC, n/k/a Forethought Distributors, LLC Respondent CRD No. 8326 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Hartford Investment Financial Services, LLC and Hartford Life Distributors, LLC (collectively, the
Reference 2010024617701finra.orgdata-portal.finra.org
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