Ian Ha of Los Angeles California a stockbroker formerly registered with AXA Advisors LLC is the subject of a customer initiated investment related written complaint on April 21, 2020 in which the customer requested unspecified damages based upon allegations that misrepresentations had been made to the customer by Ha in regards to the exchange of incentive life insurance with universal life insurance in 2016 during the time that Ha was associated with AXA Advisors.
Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Ha was discharged by AXA Advisors on October 8, 2018 founded on accusations of him admitting to having executed transactions in customer accounts without authorization. The securities broker dealer alleged that trades were made by the stockbroker on a discretionary basis in at least three customer accounts.
Between November 20, 2018 and February 18, 2020, Ha was associated with Infinity Financial Services.
