September 26, 2011 Comments (0) Blog, Securities Fraud

Securities Regulatory Information Regarding AXA Advisors

(Last Updated On: July 17, 2015)

The following is a brief breakdown of publicly available information regarding AXA Advisors and its securities sales practices and FINRA regulatory history.

AXA Advisors is a FINRA registered broker-dealer based in New York, New York.  AXA Advisors’ website states that the firm is a subsidiary of AXA Financial, Inc., a member of the global AXA Group.

Although AXA Advisors has a solid reputation in the securities industry, investors should know that the firm does have numerous reportable events on its FINRA Broker Report (or CRD).

According to the firm’s CRD, AXA Advisors has been named in at least 15 regulatory events related to possible securities fraud violations.  The firm has been the subject of investigations conducted by FINRA, the Oregon Division of Finance and Corporate Securities, the Missouri Securities Division, and the Securities and Exchange Commission (among others).  These regulatory investigations involved the following investment products (among others): mutual funds, direct investments (DPP and Limited Partnership interests), and annuities.

The firm has also been named in over 10 FINRA arbitration claims filed by investors.  These claims involved various investment types and causes of action.

The foregoing is but a brief summary of the firm’s FINRA Broker Report.  To access AXA Advisors’s full CRD, you can visit http://brokercheck.finra.org.

If you have any questions about investments you made with AXA Advisors, or if you believe that you have been the victim of a securities fraud, The White Law Group may be able to help.  To contact the firm, please call 312/238-9650 or 561/807-6804.

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.

For more information on The White Law Group, please visit http://www.whitesecuritieslaw.com.

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