John Ezmat, of Verona, New Jersey, has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member based upon allegations that he failed to provide FINRA personnel with a response to FINRA’s information request. Letter No. 2016049344101 (Oct. 17, 2016).
Why FINRA wanted to speak with Mr. Ezmat, one never knows. It is a secret.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that on October 3, 2013, a customer filed an investment related written complaint involving Ezmat’s conduct, based upon allegations that at the time in which the customer purchased a variable annuity contract, Ezmat failed to disclose the penalties that the customer would incur to surrender the policy.
Ezmat was terminated from AXA Advisors, LLC on March 14, 2016, based upon allegations that he failed to make required disclosures concerning his past financial judgments.
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