Displaying 10 results
Finra fines AXA $600,000 over misclassified bond funds
Funds sold to 401(k) plans as investment grade actually held lots of junk.
Elderly investors win $3.2 million Finra arbitration award against AXA Advisors
Upstate New York couple cites five unsuitable variable annuity, life insurance transactions.
Former AXA broker in Arizona charged with $475,000 client theft
Howard Price III was no longer registered when the alleged thefts took place.
AXA loses $150 million team to Ameriprise
Charles Gemmer and team in Indianapolis join franchise channel.
Insurers still grappling with costly variable-annuity promises
AXA Equitable and Ohio National have recently tried switching consumers out of VAs with rich benefits through buyouts and exchanges.
Eight brokerage firms urge CFP Board to delay new fiduciary standards
Ameriprise, AXA Advisors, Edward Jones, LPL, Morgan Stanley, RBC, Wells Fargo and UBS call on organization to stand down until SEC proposes its own rule later this year.
AXA Advisors vice chairwoman Christine Nigro to leave
The No. 2 executive at AXA Advisors, vice chairwoman Christine Nigro, will leave the firm in the middle…
Finra bars former AXA rep
Cleveland office fired him last year for possible market manipulation
Finra bars former AXA rep for failure to appear at hearing
Ex-AXA broker was fired by firm for misrepresentations in VA sales.
Axa Advisors to pay $50,000 settlement in connection to retirement-fund fraud
The Securities and Exchange Commission on Tuesday filed an administrative proceeding against Axa Advisors LLC for failing to supervise a former registered representative who pleaded guilty to securities fraud in January 2008.
