Tag Archives: Donald George Sperring Jr.

AXA Stockbroker Barred By FINRA For Failure To Cooperate In Investigation

December 07, 2020  |   Posted by :   |   Investment and Regulatory News   |   Comments Off on AXA Stockbroker Barred By FINRA For Failure To Cooperate In Investigation

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 […]

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