Search for: "Axa Advisors,LLC."
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12 Sep 2019, 8:47 am
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]
1 Jul 2019, 12:46 pm
Merrill Lynch, Pierce, Fenner & Smith Inc Heilman, Peter Edward Jones High, Robert First Financial Equity Corp Chase Investment Services Corp Irizarry, Melissa LPL Financial LLC Invest Financial Corp LaBare, Richard Union Capital Company Morgan Stanley & Co Inc Mariampolski, Arnold AXA Advisors Ohel, Ziv CFD Investments, Inc Ameriprise Financial… [read post]
1 Jul 2019, 12:40 pm
Morgan Securities LLC AXA Advisors, LLC Maurer, William Voya Financial Partners, LLC Nye, Jason The O.N. [read post]
24 Jun 2019, 1:21 pm
Then, I started reading a article but an arbitration with somebody who had dealt with AXA Advisors. [read post]
3 May 2019, 8:51 am
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]
25 Apr 2019, 11:59 am
According to FINRA Disciplinary actions for April 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Acca, Lisa Arive Capital Markets Global Arena Capital Corp Boggs, Marcus Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America… [read post]
12 Apr 2019, 8:25 am
Insurance Agency Peter Gomez NYLife Securities LLC New York Life Insurance Co Harris, Dionna Vanguard Marketing Corporation Henry, Omar Cetera Advisors LLC JP Morgan Securities LLC King, Erin Wells Fargo Clearing Services, LLC Wells Fargo Bank Lin, Linda Lossing, Christopher LPL Financial LLC Edward Jones McNeill, Randolph … [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]
1 Feb 2019, 8:45 am
(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]
31 Jan 2019, 8:32 am
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]
30 Jan 2019, 1:03 pm
According to FINRA Disciplinary actions for January 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Alfaro, Jennifer JP Morgan Securities LLC JP Morgan Chase Bank Austin, Aaron LPL Financial LLC M&T Securities, Inc Austin,… [read post]
3 Jan 2019, 5:57 am
According to FINRA Disciplinary actions for December 2018, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Barrick, Tabor FBL Marketing Services, LLC Allstate Financial Services, LLC Conklin, Jeffrey The Huntington Investment Company … [read post]
31 Dec 2018, 7:54 am
In August 2008 Hughes was terminated by AXA Advisors, LLC (AXA) after the firm alleged that Hughes failed to follow compliance procedures and policies after the broker was placed on enhanced supervision by the firm. [read post]
18 Dec 2018, 11:12 am
According to FINRA Disciplinary actions for November 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Christopher Cervino Primary Capital, LLC COR Clearing LLC Abdul Chowdhury AXA Advisors, LLC JP Morgan Securities LLC Michael Durgin Hilltop Securities Inc.… [read post]
18 Dec 2018, 11:03 am
Morgan Securities LLC Virginia Nichols LPL Financial LLC Merrill Lynch, Pierce, Fenner & Smith Inc Michael Nickoli AXA Advisors, LLC NML Investors, LLC Jeffrey Offen Craft Capital Management LLC Salomon Whitney Financial Issac Onu NY Life Securities LLC Wells Fargo Advisors, LLC Michael Resciniti Spartan… [read post]
13 Sep 2018, 6:47 am
(CRD #23224) and AXA Advisors, LLC (CRD #6627) of Tampa, FL and MONY Securities Corporation (CRD #4386) of New York, NY. [read post]
27 Aug 2018, 7:55 am
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]
21 Aug 2018, 5:17 am
Morgan Securities LLC Massachusetts Mutual Life Ins Co Thomas Matthew Dunlap AXA Advisors LLC Saima Ashraf Durrani J.P. [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]
26 Jul 2018, 11:40 am
From June 2005 to March 2012, Hayes was registered with AXA Advisors, LLC. [read post]
