Defendant Name:
World Group Securities, Inc.
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
Aegon N.V.
SIC Code:
6311
CUSIP:
00792410
Initial Case Details
Legal Case Name
In the Matter of World Group Securities, Inc.
First Document Date
22-Nov-2010
Initial Filing Format
Administrative Action
File Number
3-14132
Allegation Type
Broker Dealer
Violations Alleged
•
Failure to supervise certain registered representatives within the meaning of Section 15(b)(4)(E) of the Exchange Act
Resolutions
First Resolution Date
22-Nov-2010