Tag Archives: Robert E. Heath

AXA Broker Suspended For Customer Loans

September 08, 2016  |   Posted by :   |   Customer Loans, Investment and Regulatory News   |   0 Comments

Robert E. Heath, from Colorado Springs, Colorado, a registered representative with AXA Advisors, LLC, was fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he engaged in the unauthorized borrowing of customer funds. Letter of Acceptance, Waiver and Consent, […]

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