Oscar R. Galdamez of Los Angeles California a stockbroker formerly registered with AXA Advisors LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations that he declined to honor FINRA’s requests for information concerning Galdamez’s sales practices. Case No. 2017054032101 (Dec. 11, 2017).
Galdamez was reportedly suspended by FINRA personnel on October 2, 2017. In order to terminate his suspension, Galdamez was required to provide FINRA with the requisite information by December 10, 2017. FINRA automatically barred Galdamez on December 11, 2017 for failing to cooperate in this respect.
FINRA Public Disclosure confirms that just a few months prior to FINRA’s regulatory action against Galdamez, on May 23, 2017, he had been discharged from AXA Advisors, LLC based upon Galdamez’s life insurance sales having raised concerns by AXA Advisors LLC.
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