James Davis Trent, of Columbia, South Carolina, a stockbroker formerly registered with AXA Advisors LLC, was suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity pursuant to an Order Accepting Offer of Settlement issued by FINRA Office of Hearing Officers which contained findings that Trent made unsuitable investment recommendations to…
James Davis Trent, of Columbia, South Carolina, a stockbroker formerly registered with AXA Advisors LLC, was charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint containing allegations that he made unsuitable investment recommendations to customers. Department of Enforcement v. James Davis Trent, No. 2014041539301 (Apr. 27, 2017). According to the Complaint,…