Search for: "AXA FINANCIAL, INC"
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3 Aug 2009, 1:15 pm
Inc. and AXA Advisors broker from operating. [read post]
15 Mar 2012, 11:17 pm
AXA Advisors is a subsidiary of AXA Financial, Inc., which is an AXA Group member. [read post]
1 Jun 2020, 9:57 am
Bryon Martinsen (Bryon Edwin Martinsen) (CRD# 1621649) is a currently-registered broker and investment advisor employed with Centaurus Financial, Inc. [read post]
15 Aug 2016, 3:08 pm
Heath was previously employed and registered with Presidential Brokerage, Inc. at the broker-dealer’s Colorado Springs, Colorado office, according to his publicly available BrokerCheck records maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
17 Aug 2007, 2:51 pm
AXA Financial Inc., C.A. [read post]
17 Aug 2007, 2:51 pm
AXA Financial Inc., C.A. [read post]
31 Jan 2019, 8:32 am
Bryon Edwin Martinsen (CRD #1621649) is a registered broker and investment advisor currently employed with Centaurus Financial, Inc. [read post]
3 Sep 2007, 4:28 pm
AXA Financial, Inc., 2007 WL 2410295 (Del. [read post]
16 Apr 2018, 4:03 pm
Plaintiff alleged that AXA breached its contractual duties by employing a new strategy for its variable annuity policies without obtaining proper approval from the New York State Department of Financial Services (“DFS”). [read post]
30 Sep 2013, 12:28 pm
In November 2009, Hernandez formed DFHR Investments, Inc. [read post]
3 Sep 2007, 5:44 am
AXA Financial, Inc., 2007 WL 2410295 (Del. [read post]
8 Feb 2019, 12:27 pm
(CRD #14869), also of Rockville, AXA Advisors, LLC (CRD #6627) of New York, NY, and PFS INVESTMENTS INC. [read post]
11 Apr 2007, 1:10 am
AXA Financial, Inc., defendants-appellees
NEW YORK COUNTYLandlord/Tenant LawBarring Eviction, Court Finds Not-for-Profit Organization Is an 'Illusory Tenant' Art Omi Inc. v. [read post]
7 Sep 2007, 9:46 am
In July of 2007, UBS Financial Services, Inc. agreed to pay a $23.3 million settlement for "inappropriately steering" brokerage customers into fee-based accounts. [read post]
5 Feb 2021, 2:56 pm
Lisa Brumm was registered with Woodbury Financial Services, Inc. in Portland, Oregon, from April 2017 until December 2020. [read post]
2 Jan 2024, 9:53 am
New York DFS Signs Another Consent Order: This Time with AXA XL for DMV Reporting ViolationsOn December 15, 2023, New York State Department of Financial Services (DFS) entered into a Consent Order (Order) with AXA XL, including affiliate companies (XL Specialty Insurance Company, for itself and as successor in interest to Catlin Indemnity Company, Coliseum Reinsurance Company, as successor in interest to AXA Insurance Company, XL Insurance America, Inc. [read post]
9 Jun 2011, 3:14 pm
Julie McNamara testified for AXA. [read post]
29 Apr 2009, 3:41 pm
AXA Financial, Inc., et al., No. 18414-CC (Del. [read post]
8 Aug 2018, 12:25 pm
He was previously employed by AXA Advisors, LLC (CRD #6627), also of Fort Lauderdale, and Raymond James & Associates, Inc. [read post]
20 May 2020, 1:57 pm
Stifel, Nicolus & Company, Inc Sterne, Agee & Leach, Inc Kievman, Cary Ameriprise Financial Services, Inc Morgan Stanley Smith Barney Krupnick, Jeffrey Ameriprise Financial Services, Inc JHS Capital Advisors, LLC Lake, Jonathan Wells Fargo Clearing Services, LLC Morgan Stanley McCutchen, Jerry Sr. [read post]
