Tag Archives: $600000

AXA to Pay $600,000 for Violations

AXA Advisors LLC Fined for Reportedly Misrepresenting Junk Bonds According to the Financial Industry Regulatory Authority (FINRA), the broker-dealer unit of AXA Equitable Life Insurance Co. agreed to pay a $600,000 fine and repay $172,000 to 401(k) retirement plan participants … Continue reading

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William Riley: Investor Seeks $600,000 in Complaint over Oil and Gas, Alternative Investments

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 25, 2018 indicate that a current Riley Wealth Advisor and former Texas-based Silver Oak Securities broker/adviser William Riley, who has received resolved or pending customer disputes, … Continue reading

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