Ian Ha of Los Angeles, California, a stockbroker registered with AXA Advisors LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Ha failed to respond to FINRA’s request for information. FINRA Case No. 2020065613902 (Dec. 10, 2021).
FINRA sent Ha a Notice of Suspension letter on September 7, 2021, and a Suspension from Association letter on October 1, 2021. The regulator provided Ha until December 9, 2021, to respond to its requests or otherwise seek termination of his suspension. Since Ha did not respond by the deadline, he was automatically barred in all capacities on December 10, 2021.
FINRA Public Disclosure shows that Ha was also referenced in a customer initiated investment related complaint on April 21, 2020 in which the customer requested damages based upon allegations that Ha made misrepresentations in connection with the sale of universal insurance products when Ha was associated with AXA Advisors LLC.
Has was associated with AXA Advisors LLC in Los Angeles, CA, from August of 2009 to October of 2018. Ha was discharged by AXA Advisors LLC based upon allegations that he exercised discretion in three customer accounts without the customers’ authorization and offered a referral fee to a client, which the client verbally confirmed, in violation of company policy.
He was also associated with Infinity Financial Services in Beverly Hills, CA, as a stockbroker from November of 2018 to February of 2020.
