Larry Dan George of Chattanooga Tennessee a stockbroker currently registered with AXA Advisors LLC is the subject of a June 26, 2017 Tennessee Department of Insurance investigation in reference to George’s sales practices while employed with the firm.
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 that he was associated with AXA Advisors. Particularly, on October 13, 2009, a customer filed an investment related complaint concerning George’s activities in which the customer requested unspecified damages based upon accusations that George made false or misleading statements to the customer about the guaranteed minimum benefit rider on a variable annuity product — the riders were apparently never included on two of the variable annuity products purchased by the customer.
Then, on February 27, 2017, a customer filed an investment related complaint regarding George’s conduct where the customer sought unspecified damages supported by allegations that disclosures were not made to the customer about the fees pertaining to a variable annuity at the time that the annuity had been purchased by the customer.
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