Donald George Sperring Jr. of Pittsburgh Pennsylvania a stockbroker formerly registered with AXA Advisors LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Sperring failed to furnish information to FINRA after being questioned by the regulator. Case No. 2019062281401 (Oct. 15, 2019). FINRA […]
Read More »AXA Stockbroker Barred By FINRA For Failure To Cooperate In Investigation
AXA Stockbroker Sanctioned For Taking Funds From Customers
Philip Anthony Simone of Irvine California a stockbroker formerly registered with AXA Advisors LLC has been fined $12,000.00 and suspended for eleven months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Simone borrowed funds from elderly customers and then failed to be forthcoming about it with […]
Read More »AXA Stockbroker Barred By FINRA In Forgery Investigation
Jenna Kang (also known as Jihye Kang) of Los Angeles California a stockbroker formerly employed by AXA Advisors LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that she neglected to provide documents and information to the regulator while under investigation for falsifying customer […]
Read More »Investors Bring FINRA Arbitration Claims Against AXA Advisors
Clinton Robert Hare of Marriottsville Maryland a stockbroker and investment adviser representative currently employed by Equitable Advisors LLC (AXA Advisors) has been identified in a customer initiated investment related written complaint on July 2, 2019 where the customer sought unspecified damages founded on accusations that the customer had been placed into an unsuitable variable life […]
Read More »Investors Accuse Infinity Financial Of Insurance Fraud
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 […]
Read More »AXA Stockbroker Sanctioned For Settling Away Customer Complaint
Billy Hai Zhang of Los Angeles California a stockbroker formerly registered with AXA Advisors LLC has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Zhang was the subject of a customer initiated investment related complaint which he settled away from AXA […]
Read More »FINRA Bars AXA Stockbroker In Investigation
Arnold Mariampolski of Woodbury New York a stockbroker formerly registered with AXA Advisors LLC has been barred by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member in any capacity based upon allegations that the stockbroker neglected to respond to its request for information about his activities. Case No. 2018061016801 (June 11, 2019). […]
Read More »AXA Advisors Accused Of Bad Real Estate Investment Trusts
Chad Daniel Hornaday of Carlsbad California a stockbroker formerly registered with AXA Advisors LLC is referenced in a customer initiated investment related written complaint on May 7, 2019 in which the customer requested unspecified damages founded on allegations that the customer was placed into a real estate investment trust product that failed to be suitable. […]
Read More »Investors Sue AXA Advisors For Bad Investment Strategy
Brent Stephen Spicuzza of Chesterfield Missouri a stockbroker formerly registered with AXA Advisors LLC is the subject of a customer initiated investment related arbitration claim in which the customer sought $1,100,000.00 in damages based upon allegations that the investment strategy Spicuzza used for the customer’s retirement accounts and brokerage accounts was unsuitable given the customer’s […]
Read More »AXA Advisors Sanctioned By FINRA For Fraudulent Bond Sales to Retirement Accounts
AXA Advisors LLC a securities broker dealer headquartered in New York New York has been censured and fined $600,000.00 by Financial industry Regulatory Authority (FINRA) based on findings that (1) AXA Advisors made misrepresentations about the bonds sold to the firm’s retirement account customers and (2) AXA Advisors neglected to supervise its practices to ensure […]
Read More »Investors Sue AXA Advisors For Misrepresentation
Brandon Il Bay (also known as Young I. Bae) of Los Angeles California a stockbroker formerly registered with AXA Advisors LLC is the subject of a customer initiated investment related civil action brought in the Los Angeles Superior Court in which the customer sought unspecified damages supported by allegations that misrepresentations had been made to […]
Read More »Investors Accuse MSI Financial Of Annuity Fraud
Brian Patrick Wells of Philadelphia Pennsylvania a stockbroker formerly registered with MSI Financial Services Inc. is referenced in a customer initiated investment related written complaint on March 1, 2017 in which the customer requested damages estimated to exceed $5,000.00 in damages based upon allegations that the customer was poorly advised concerning the purchases of a […]
Read More »MML Investors Services Accused Of Annuity Fraud
Peter Michael Terlecky III of Amherst New York a stockbroker formerly employed by MML Investors Services LLC is the subject of a customer initiated investment related written complaint which was settled on May 13, 2016 to resolve accusations that during the time Terlecky was associated with the firm he made misrepresentations to the customer concerning […]
Read More »AXA Advisors Accused Of Insurance Fraud
Matthew Klein of New York New York a stockbroker currently employed by AXA Advisors LLC is the subject of a customer initiated investment related written complaint which was settled for $25,261.00 on September 13, 2016 based upon allegations that misrepresentations were made to the customer concerning a life insurance policy that the customer purchased. Financial […]
Read More »AXA Broker Suspended For Unauthorized Trading
Dennis Changseop Lee of Middle Villages New York a stockbroker formerly employed by AXA Advisors LLC has been fined $15,000.00 and suspended for nine months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he mismarked customers’ order tickets and failed to disclose his discretionary […]
Read More »Regulator Investigates AXA For Bad Sales Practices
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 […]
Read More »AXA Accused By Investors Of Misrepresentation
Jon Saul Yasner of Edison New Jersey a current AXA Advisors LLC registered representative is the subject of a customer initiated investment related written complaint on July 30, 2018 in which the customer sought $8,069.85 in damages supported by accusations that misrepresentations had been made to the customer concerning a rollover of the customer’s fixed […]
Read More »Investors Accuse AXA Advisors Of Bad Insurance
Arnold Mariampolski of Woodbury New York a stockbroker currently employed by AXA Advisors LLC is the subject of a customer initiated investment related written complaint on July 6, 2018 where the customer sought unspecified damages founded on accusations that the customer was placed in an insurance policy that failed to address her financial objectives. Financial […]
Read More »AXA Advisors Broker Barred Over FINRA Inquiry
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 […]
Read More »Investors Accuse AXA Advisors Of Misrepresentation
Henry Calvin McNeese of Alpharetta Georgia a former AXA Advisors LLC registered representative is referenced in a customer initiated investment related written complaint on September 13, 2017 where the customer sought unspecified damages founded on accusations that the customer’s variable universal life insurance policy had been misrepresented. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals […]
Read More »AXA Accused By Investor Of Annuity Misrepresentation
Patrick R. McEvoy of New York New York a stockbroker currently employed by AXA Advisors LLC is the subject of a customer initiated investment related written complaint on May 29, 2018 in which the customer sought $5,654.91 in damages based upon accusations that (1) misrepresentations had been made to the customer concerning a variable annuity […]
Read More »AXA Stockbroker Song Won’t Sing
Simon Boowon Song of Los Angeles California a stockbroker formerly employed by AXA Advisors LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Song neglected to provide FINRA with a response to its request for information. FINRA Case No. 2017055196201 (Jan. 8, 2018). […]
Read More »AXA Accused By Customer Of Annuity Fraud
Jason Chi-Wei Fu of Flushing New York is a stockbroker currently registered with AXA Advisors, LLC who is the subject of a customer initiated investment related written complaint on February 19, 2018 where the customer alleged that Fu (1) failed to inform the customer about the terms and conditions of investing in variable annuities and […]
Read More »Regulator Investigates Sales Activities Of AXA Broker
Dallas Dan George of New York New York is a broker currently employed by AXA Advisors LLC whose sales practices are subject of a Tennessee Department of Insurance investigation launched on June 26, 2017. The Tennessee Department is coincidentally located in the Davy Crockett Tower, however, the Director is not, at last as of this writing, […]
Read More »AXA Advisors Sued By Customer For Suitability
David Allan Cohen, of Rockville, Maryland, a stockbroker formerly registered with AXA Advisors, LLC, is the subject of a customer initiated investment related arbitration claim, in which the customer sought $80,000.00 in damages supported by accusations that Cohen made unsuitable investment recommendations to the customer concerning the customer’s purchase of an annuity and life insurance […]
Read More »FINRA Fines AXA Broker For Outside Business Activities
Douglas E. Keller, of Woodbridge, New Jersey, a stockbroker formerly registered with AXA Advisors LLC, has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he engaged in undisclosed outside business activities. Letter of Acceptance, Waiver and […]
Read More »AXA Sued By Customer For Misrepresentation
Eric Christopher Erb of Babylon, New York, a stockbroker registered AXA Advisors, LLC, is the subject of two customer initiated investment related arbitration claims since he was fined $20,000.00 and suspended by Financial Industry Regulatory Authority (FINRA) for making unsuitable investment recommendations and misrepresentations about costs, fees and surrender penalties of annuities. Letter of Acceptance, […]
Read More »AXA Stockbroker Barred For Failure To Cooperate
Christian Desmond Fautz of Fort Myers, Florida, a stockbroker registered with AXA Advisors, LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations Fautz never provided FINRA with a response to its request for information about his business activities. Case No. 2017054319701 (Nov. 6, 2017). FINRA […]
Read More »AXA Stockbroker Fined For Outside Business Activities
Ryan Christopher Keller, of Woodbridge, New Jersey, a stockbroker formerly registered with AXA Advisors, LLC, has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in all capacities by consenting to findings that he engaged in unapproved outside business activities. Letter of Acceptance, Waiver and Consent, […]
Read More »AXA Advisors Sued For Suitability
Joseph R. Dimauro, of New York, New York, a registered representative associated with AXA Advisors, LLC, was the subject of a customer initiated investment related written complaint on May 3, 2016, alleging that in 2014, Dimauro effected the purchase of variable annuities for the customer even though the annuities were not suitable. Financial Industry Regulatory Authority […]
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