Arnold Mariampolski of Woodbury New York a stockbroker formerly registered with AXA Advisors LLC has been barred by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member in any capacity based upon allegations that the stockbroker neglected to respond to its request for information about his activities. Case No. 2018061016801 (June 11, 2019).
According to FINRA Public Disclosure, a Notice of Suspension had been issued to the stockbroker by the regulator on March 8, 2019. FINRA issued a Suspension from Association letter to Mariampolski on April 1, 2019. The stockbroker had an opportunity to provide the information that FINRA requested or otherwise seek termination of the suspension by June 10, 2019 but he neglected to comply resulting in an automatic bar.
FINRA Public Disclosure confirms that Mariampolski has been identified in two customer initiated investment related disputes concerning accusations of his misconduct while employed by securities broker dealers including AXA Advisors. On October 9, 2015, a customer filed an investment related complaint concerning Mariampolski’s activities where the customer sought unspecified damages founded on accusations that misrepresentations were made concerning variable life insurance that had been sold to the customer during the time that Mariampolski was employed by AXA Advisors.
On July 6, 2018, another customer filed an investment related complaint pertaining to Mariampolski’s conduct in which the customer requested unspecified damages supported by allegations that the AXA Advisors customer was sold an inappropriate life insurance policy by Mariampolski.
On December 26, 2018, AXA Advisors discharged Mariampolski based upon accusations that the stockbroker failed to make required regulatory disclosures.
