Defendant Name:
AXA Advisors, LLC
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
AXA UAP
SIC Code:
6311
CUSIP:
05453610
Document Reference:
34-60480
Document Details
Legal Case Name
In the Matter of AXA Advisors, LLC
Document Name
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Pursuant to Section 15(b)(4) of the Securities Exchange Act of 1934
Document Date
11-Aug-2009
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Document Summary
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."
Disgorgement & Penalty Information
Resolutions
Censured
Other Compliance Related Undertaking
Cooperation Before the Resolution
Remedial Acts or Efforts Before the Resolution
Monetary Penalties:
Civil Penalty
Individual:
$50,000.00
Shared:
