Dallas Dan George of New York New York is a broker currently employed by AXA Advisors LLC whose sales practices are subject of a Tennessee Department of Insurance investigation launched on June 26, 2017. The Tennessee Department is coincidentally located in the Davy Crockett Tower, however, the Director is not, at last as of this writing, Tennessee Jed. But there is not any place that I would rather be than back in Tennessee.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that George has been identified in two customer initiated investment related disputes containing allegations of George’s violative conduct during the time he was associated with AXA Advisors LLC. In particular, on April 24, 2014, a customer filed an investment related written complaint pertaining to George’s activities, where the customer sought $7,357.62 in damages founded on accusations that George made misrepresentations to the customer concerning a variable annuity that the customer purchased.
Subsequently, on February 27, 2017, a customer filed an investment related written complaint pertaining to George’s conduct, alleging that fees of variable annuity products were not explained to the customer at the time that the customer made the 2015 investment.
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