September 23, 2009 Comments (0) Blog, Securities Fraud

William J. Gray, formerly of AXA Advisors, LLC in Woodbridge, New Jersey, barred from FINRA for securities violations.

(Last Updated On: July 17, 2015)

FINRA recently announced that William J. Gray, formerly of AXA Advisors, LLC in Woodbridge, New Jersey , has been barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Gray consented to findings that he forged the signatures of a customer and brokers of his firm (AXA Advisors) on necessary paperwork for the customer’s purchase of a variable annuity. According to William Gray’s FINRA Broker Report (CRD), in a separate customer complaint, the customer complained that she was completely unaware of the purchase of the variable annuity and when she received the paperwork for the purchase of the variable annuity (after numerous requests) she noticed “irregularities” in the signatures on the paperwork.

Prior to working at AXA Advisors, LLC, and prior to forging the signatures on the variable annuity paperwork at AXA Advisors, LLC, William Gray worked as a financial advisor for the Equitable Life Assurance Society of the United States, a registered broker-dealer based out of New York City.

If you have questions about investments you made with William Gray or AXA Advisors, LLC, or if you believe that you have been the victim of a securities fraud, The White Law Group may be able to help. To speak to a securities attorney, please call our Chicago office at 312-238-9650.

The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida.

To learn more about The White Law Group, visit http://www.whitesecuritieslaw.com.

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