Tag Archives: XA Advisors LLC

AXA Advisors Complaint Alleges Unsuitability

Paul Anthony Snow, of Grand Rapids, Michigan, a registered representative associated with AXA Advisors, LLC, has been named in a customer initiated investment related written complaint on April 26, 2017, based upon allegations that he made unsuitable investment recommendations to the customer concerning an individual retirement account, and omitted information from the customer about fees […]

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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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