Nex Systems
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JOHN HANCOCK FUNDS 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

    07/17/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035036101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John Hancock Funds, LLC (BD No. 28262), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, John Hancock Funds, LLC ("JHF" or the "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2013035036101finra.orgdata-portal.finra.org

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