Philip Anthony Simone, of Costa Mesa, California, a stockbroker formerly registered with Centaurus Financial Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested $100,001.00 in damages based upon accusations of their account being overconcentrated in complex, risky, and high-commission real estate securities while Simone was registered with…
Philip Anthony Simone of Irvine California a stockbroker formerly registered with AXA Advisors LLC has been fined $12,000.00 and suspended for eleven months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Simone borrowed funds from elderly customers and then failed to be forthcoming about it with…