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AXA Stockbroker Sanctioned For Taking Funds From Customers

November 30, 2020 | Posted by : Guiliano Law Group | Customer Loans, Elder Financial Abuse, FINRA Securities Arbitration, Investment and Regulatory News | Comments Off

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 […]

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AXA Stockbroker Sanctioned For Taking Funds From Customers

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