Defendant Name: AXA Advisors, LLC

Defendant Type: Subsidiary of Public Company
Public Company Parent: AXA UAP
SIC Code: 6311
CUSIP: 05453610

Initial Case Details

Legal Case Name In the Matter of Axa Advisors, LLC
First Document Date 11-Aug-2009
Initial Filing Format Administrative Action
File Number 3-13577
Allegation Type Broker Dealer

Violations Alleged

Other
• Section 15(b)(4)(E) Exchange Act

Resolutions

First Resolution Date 11-Aug-2009
Headline Total Penalty and Disgorgement $50,000

Related Documents:

34-60480 11-Aug-2009 Administrative Proceeding
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Pursuant to Section 15(b)(4) of the Securities Exchange Act of 1934
The SEC stated: "Respondent failed reasonably to supervise Gordon R. Moore ("Moore") with a view to preventing and detecting his violations of the federal securities laws during the period July 2004 through June 2007."

Related Actions:

In the Matter of Gordon R. Moore
Gordon R. Moore