Tag Archives: Lisa Ann Brumm

FINRA Sanctions AXA Stockbroker For Misrepresentation

February 16, 2021  |   Posted by :   |   Customer Loans, Investment and Regulatory News, Promissory Notes, Selling Away and Outside Activities, Variable Annuites   |   Comments Off on FINRA Sanctions AXA Stockbroker For Misrepresentation

Lisa Ann Brumm (also known as Lisa Ann Moon) of Portland Oregon a stockbroker formerly registered with AXA Advisors LLC has been fined $7,500.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that she provided unsuitable recommendations to customers and made misrepresentations […]

Read More »