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
Affiliations
- Former: Broker/Registered Representative at AXA Advisors, LLC (June 1982—January 2009)
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of unspecified duration)
- Bar from participating in any penny stock offering (of unspecified duration)
First Resolution Date
