Search for: "Axa Advisors,LLC."
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7 Jul 2021, 1:51 pm
Michael Gopie AXA Advisors, LLC Merrill Lynch, Pierce, Fenner & Smith Inc Cary Kievman Ameriprise Financial Services, Inc. [read post]
23 Jul 2021, 12:55 pm
AXA Advisors LLC, Respondent. [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]
24 Dec 2019, 8:01 am
Andrew Stanley Krakauer (CRD: 1613159) is a registered broker and investment advisor employed by AXA Advisors, LLC (CRD#: 6627) of Woodbury, NY. [read post]
1 Jun 2020, 9:57 am
Martinsen previously worked for AXA Advisors, LLC (CRD# 6627) and The Equitable Life Assurance Society Of The United States (CRD# 4039), in New York, NY. [read post]
20 May 2020, 1:57 pm
According to FINRA Disciplinary actions for January 2020, 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 Callagy, Christopher Aegis Capital Corp Oppenheimer & Co Inc Costanzo, Anthony AXA Advisors, LLC Dininno, Matthew Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Inc … [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]
10 Aug 2017, 9:32 am
Lightsey or AXA Advisors, the securities attorneys of The White Law Group may be able to help you. [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]
4 Nov 2015, 11:09 am
., Janney Montgomery, AXA Advisors, and Stephens Inc. [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]
11 Sep 2015, 5:41 am
Approximately two months after disclosing the customer complaint AXA Advisors, LLC (AXA) terminated Lee. [read post]
15 Aug 2016, 3:08 pm
Heath was previously employed and registered by AXA Advisors, LLC from December 2008 to December 2012, and employed by VALIC Investment Services Company from September 1990 to December 2008. [read post]
30 Oct 2015, 2:04 pm
– $2.9 million in restitution Janney Montgomery Scott, LLC – $1.2 million in restitution AXA Advisors, LLC – $600,000 in restitution Stephens Inc. [read post]
10 Jan 2018, 4:40 pm
Galdamez AXA Advisors, LLC Michael D. [read post]
28 May 2014, 5:49 am
From December 2007 through September 2012, Miron was a representative with AXA Advisors, LLC. [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]
24 Dec 2019, 7:19 am
AXA Advisors, LLC The Equitable Life Assurance Society of the US Su, Zachary J.P. [read post]
5 Feb 2021, 2:56 pm
She was previously registered with AXA Advisors, LLC (now known as Equitable Advisors LLC) from July 2011 to May 2017. [read post]
6 Feb 2018, 7:30 am
Turner & Company, LLC Wayne Earl Cooksey Christian Desmond Fautz AXA Advisors, LLC Adham Shafik Khalil Allstate Financial Services, LLC Suhail Saleem Khan LPL Financial LLC Kingsview Asset Management LLC Rick Douglas Konecny National Securities Corporation J.P. [read post]
