Tag Archives: Axos Clearing LLC

FINRA Sanctions Axos Clearing For Margin Account Fraud

July 22, 2019  |   Posted by :   |   Investment and Regulatory News, Margin Account Fraud   |   0 Comments

Axos Clearing LLC a securities brokerage firm headquartered in Omaha Nebraska has been censured and fined $250,000.00 by Financial Industry Regulatory Authority (FINRA) founded on findings that the firm failed to make disclosures to customers regarding margin interest charges which prevented customers from both ascertaining the terms and conditions relating to their margin accounts and […]

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