Articles Posted in FINRA Enforcement Actions 2010

AXA Advisors, LLC (CRD® #6627, NewYork, NewYork)

Published on: July 6, 2012 | By Russell L. Forkey, P.A.

Mutual Fund and Investment Fraud, and Negligence FINRA Arbitration and Litigation Lawyer, Russell L. Forkey, Esq.

January, 2010:

AXA Advisors, LLC (CRD® #6627, NewYork, NewYork) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $250,000. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that it failed to keep accurate and complete records relating to its direct mutual fund business, and failed to have adequate systems, procedures and related written procedures to reasonably supervise the matching of records for its direct mutual fund business. (FINRA® Case #2007008362001).

FINRA Enforcement Actions – January, 2010

Published on: July 6, 2012 | By Russell L. Forkey, P.A.

FINRA Arbitration and Litigation Fraud, Theft Mismanagement, Negligent Supervision and Selling Away Attorney Attorney, Russell L. Forkey, Esq.

January, 2010:

Periodically, the Financial Industry Regulatory Authority, Inc. (FINRA) publically announces, on its website, enforcement actions that have either recently been settled by or commenced against broker/dealers and/or associated persons.