Jenna Kang (also known as Jihye Kang) of Los Angeles, California, a stockbroker registered with AXA Advisors LLC, is the subject of a customer initiated investment related complaint that was settled on December 17, 2020 to resolve allegations that Kang forged the customer’s signature and committed other sales practice violations in connection with the sale of mutual funds when Kang was associated with AXA Advisors LLC.
Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Kang is referenced in ten (10) other customer initiated investment related disputes concerning Kang’s conduct while associated with securities broker dealers, including AXA Advisors LLC. On May 27, 2020, a customer initiated investment related complaint involving Kang’s conduct was settled to resolve allegations that Kang forged customer signatures and committed sales practice violations in connection with the recommendation and sale of mutual funds when Kang was associated with AXA Advisors LLC.
On August 7, 2020, a complaint involving Kang’s conduct was settled to resolve allegations that Kang forged customer signatures and committed sales practice violations with regard to the recommendation and sale of mutual funds when Kang was associated with Equitable Advisors LLC. Another complaint, also involving forgery was settled on August 10, 2020.
FINRA Public Disclosure shows that Kang has been barred from associating with any FINRA member in any capacity based upon allegations that Kang failed to provide information and documents to FINRA. Case No. 2020066356001 (Oct. 8, 2020).
According to the AWC, in April 2020, Kang’s registration with AXA Advisors LLC was terminated. In their Uniform Termination Notice for Securities Industry Registration (Form U5), AXA disclosed that Kang had signed customer signatures on firm documents. FINRA then began an investigation into Kang based on that disclosure. In connection with the investigation, FINRA sent Kang a request for the production of documents and information on September 30, 2020. Through her counsel, Kang indicated that she received FINRA’s request but would not produce the documents and information. Kang violated FINRA Rules 2010 and 8210 as a result.
Jenna Kang was associated with AXA Advisors LLC from September 9, 2016 to April 15, 2020.
