Search for: "Axa Advisors,LLC."
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19 Mar 2014, 3:12 pm
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]
6 Jan 2014, 6:14 pm
According to the Financial Industry Regulatory Authority, Hall was a registered broker with AXA Advisors from 01/2007 – 01/2011, and with The O.N. [read post]
17 Nov 2013, 8:28 am
Form February 1990 through November 2002, Blake was registered as a representative with AXA Advisors, LLC. [read post]
30 Sep 2013, 1:56 pm
From April 2002 until February 2005 Dearman was registered with the firm AXA Advisors, LLC. [read post]
30 Sep 2013, 12:28 pm
In April 2012, Hernandez became a registered representative of AXA Advisors, LLC (AXA) until February 2013. [read post]
2 Jul 2013, 3:01 pm
According to Wrights Broker Check report, he has been a registered broker with AXA Advisors since 1983. [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]
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]
1 Sep 2011, 4:15 pm
Priscilla Sabado, formerly with AXA Advisors in Irvine, CA, was barred from association with any FINRA member in connection with findings that she sold investments in Texas oil and gas projects without consent of her member firm. [read post]
18 Jul 2011, 7:40 am
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]
30 May 2011, 1:03 pm
Global insurance company, AXA Advisors, LLC, is being accused of violating the U.S. [read post]
16 Dec 2009, 5:18 am
Gray, former financial adviser for AXA Advisors LLC. [read post]
21 Sep 2009, 5:39 am
Other attendees include representatives from: The Carlyle Group; Westover Capital Advisors, LLC; Oppenheimer Funds, Inc; State Street; Penbrook Management, LLC; Trilogy Capital; Bridgewater Associates; AXA Investment Managers; Strategic Value Partners, LLC; Pershing Square Capital Management; Guggenheim Advisors, LLC; Lone Pine Capital; Parkway Advisors; Vicis Capital LLC; The Swathmore Group; Abbott Capital Management,… [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]
25 Feb 2009, 6:45 am
(FINRA Case No. 200700733001).In another case, AXA Advisors, LLC was censured and fined $350,000 (FINRA Case No. [read post]
25 Oct 2008, 12:18 am
(Intellectual Property Marketing Advisor) How reasonable is your royalty? [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]
7 Sep 2007, 9:46 am
Melton, lmelton@dhayeslaw.com THE HAYES LAW FIRM, www.dhayeslaw.com, 1-866-332-3567 toll free On Wednesday of this week (Sept. 5, 2007) the Financial Industry Regulatory Authority (FINRA) fined AXA Advisors, LLC, $1.2 million for fee-based account violations. [read post]
