Nex Systems
Type not stated

ING FINANCIAL ADVISORS LLC

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    02/19/2008: RECEIVED LETTER OF ACCEPTANCE, WAIVER AND CONSENT FINANCIAL INDUSTRY REGULATORY AUTHORITY NO. 2007007182602 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: ING Financial Advisors, LLC, Respondent Member Firm CRD No. 34815 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, we submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2007007182602data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    03/02/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016769301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: ING Financial Advisors, LLC, Respondent Member CRD No. 34815 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent sutanits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2009016769301finra.orgdata-portal.finra.org

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