Defendant Name: Leo T. Buggy

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Leo T. Buggy
First Document Date 20-Jan-2012
Initial Filing Format Administrative Action
File Number 3-14707
Allegation Type Broker Dealer



First Resolution Date

Related Documents:

34-66205 20-Jan-2012 Administrative Proceeding
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions

Related Actions:

In the Matter of AXA Advisors, LLC