Tag Archives: Brent Spicuzza

AXA Advisors Sued for Unsuitability

April 10, 2017  |   Posted by :   |   Failure to Diversify, Investment and Regulatory News   |   0 Comments

Brent Spicuzza, of Chesterfield, Missouri, a stockbroker formerly registered with AXA Advisors, LLC, has been named in a customer initiated investment related written complaint on March 21, 2016, based upon allegations that Spicuzza made unsuitable investment recommendations to the customer concerning the purchase of energy sector mutual funds. Financial Industry Regulatory Authority (FINRA) Public Disclosure […]

Read More »