Articles Posted in FINRA Enforcement Actions 2010

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…

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. We review these settlements and filed…