Tag Archives: Oscar R. Galdamez

AXA Advisors Broker Barred Over FINRA Inquiry

September 27, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Oscar R. Galdamez of Los Angeles California a stockbroker formerly registered with AXA Advisors LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations that he declined to honor FINRA’s requests for information concerning Galdamez’s sales practices. Case No. 2017054032101 (Dec. 11, 2017). Galdamez was […]

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