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 […]
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FINRA Fines AXA Broker For Outside Business Activities
January 10, 2018 | Posted by : Guiliano Law Group | Investment and Regulatory News, Selling Away and Outside Activities | 0 Comments