Search for: "Axa Advisors,LLC." Results 1 - 20 of 95
Sorted by Relevance | Sort by Date
RSS Subscribe: 20 results | 100 results
5 Nov 2021, 10:11 am by Iorio Altamirano
FINRA has barred former AXA Advisors, LLC broker Edgar Kleydman from the securities industry. [read post]
13 Aug 2009, 7:21 am
By Sara Hansard The Securities and Exchange Commission on Tuesday filed an administrative proceeding against Axa Advisors LLC < [sec.gov]> for failing to supervise a former registered representative who pleaded guilty to securities fraud in January 2008.New York-based Axa Advisors offered to pay a $50,000 settlement â€â [read post]
3 May 2019, 8:51 am by Renae Lloyd
AXA Advisors LLC reportedly misrepresented the credit quality of certain funds offered within group annuity contracts for the corporate retirement plans, for five years ending in November 2015, according to a Letter of Acceptance, Waiver and Consent signed by the AXA. [read post]
15 Mar 2012, 2:31 am
, without admitting or denying the findings, prior to a regulatory hearing and without an adjudication of any issue, AXA Advisors, LLC submitted a Letter of Acceptance, Waiver and Consent (? [read post]
16 Nov 2017, 3:48 pm by Michael J. Giarrusso
Correnti was associated with AXA Advisors, LLC (“AXA”) (CRD# 6627) (2015-2016). [read post]
20 May 2008, 10:13 pm
[see IRC 130(d)]The road to financial literacy begins with the teachers, advisors, brokers and consultants. [read post]
15 Oct 2021, 9:54 am by The White Law Group
   In connection with FINRA’s purported investigation into whether Kleydman engaged in private securities transactions without providing written notice to his former member firm AXA Advisors (now known as Equitable Advisors, LLC), FINRA staff issued Kleydman a request for on-the-record testimony. [read post]
15 Mar 2012, 11:17 pm
AXA Advisors LLC will pay a $100,000 fine to settle Financial Industry Regulatory Authority allegations that it delayed too long before firing a broker who was also the mastermind of a Ponzi scam. [read post]
13 Aug 2015, 11:41 am by Adam Nicolazzo
Lee, a former AXA Advisors, LLC broker who was recently terminated by the firm in April 2015. [read post]
12 Sep 2019, 8:47 am by Staff Attorney
The securities attorneys at Gana Weinstein LLP are currently investigating advisor John Eads (Eads), formerly registered with Lion Street Financial, LLC (Lion Street Financial) and AXA Advisors, LLC (AXA Advisors) out of Titusville, Florida. [read post]
31 Jan 2019, 8:32 am by Silver Law Group
 His previous employers are AXA Advisors, LLC (CRD #6627) and The Equitable Life Assurance Society Of The United States (CRD #4039), both of New York, NY. [read post]
19 Mar 2014, 3:12 pm by D. Daxton White
According to Financial Advisors Magazine, the New York Department of Financial Services fined AXA SA’s U.S. unit $25 million for changing the investment strategies of previously sold variable annuities products without giving adequate notice to regulators. [read post]
8 Feb 2019, 12:27 pm by Silver Law Group
(CRD #14869), also of Rockville, AXA Advisors, LLC (CRD #6627) of New York, NY, and PFS INVESTMENTS INC. [read post]
8 Aug 2018, 12:25 pm by Silver Law Group
He was previously employed by AXA Advisors, LLC (CRD #6627), also of Fort Lauderdale, and Raymond James & Associates, Inc. [read post]
13 Sep 2018, 6:47 am by Silver Law Group
(CRD #23224) and AXA Advisors, LLC (CRD #6627) of Tampa, FL and MONY Securities Corporation (CRD #4386) of New York, NY. [read post]
1 Feb 2019, 8:45 am by Silver Law Group
(CRD #17499) of Nashville, TN, AXA Advisors, LLC (CRD #6627) and The Equitable Life Assurance Society Of The United States (CRD #4039), both of New York, New York. [read post]
Sabado, 61, resides in Irvine, California and worked as both a broker-dealer and investment adviser representative at AXA Advisors, LLC until April 1, 2010. [read post]
22 Sep 2021, 11:50 am by The White Law Group
      The post Former AXA Advisor, Jenna Kang Barred from Securities Industry  appeared first on The White Law Group. [read post]
27 Aug 2018, 7:55 am by Silver Law Group
He was previously registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Fort Worth, and AXA Advisors, LLC (CRD #6627) of New York, NY. [read post]