Published by ThinkAdvisor By Melanie Waddell May 01, 2019 — The arb award is the largest ever imposed on AXA, the plaintiffs’ lawyers said. A Financial Industry Regulatory Authority arbitration panel awarded an elderly couple from New…
Securities Fraud
Published by wealthmanagement.com By Diana Britton May 01, 2019 — The couple said their AXA broker sold them high-end, high-commission annuities and life insurance policies when they didn’t need them. A FINRA arbitration panel has ordered AXA Advisors to…
Published by Business Wire May 01, 2019 02:49 PM Eastern Daylight Time — ROCHESTER, N.Y.–(BUSINESS WIRE)–A FINRA arbitration panel has awarded $3.2 million to an Alleghany County egg-farming family swindled in a variable annuity (VA) and life insurance scheme…
Published by New York Upstate News By Julie Mcmahon Updated 3:01 PM; Today 2:35 PM — An Alleghany County egg-farming family was awarded $3.2 million in what lawyers believe is the largest settlement of a financial securities fraud case in…
PWCK Law Firm Cautions Case is Just “Tip of Iceberg” of Problem AXA Brokers; News Event Features 81-Year-Old Widow Who Lost Entire Life Savings to Same AXA Broker. — ROCHESTER, N.Y. – May 1, 2019 – A FINRA…
Published by CNBC By Sarah Obrien Published 10:01 AM ET Mon, 25 March 2019 — Dishonest advisors or brokers may not be the norm. When they turn up, though, hold on to your pocketbook. In the latest monthly list of…
Published by News 5 Cleveland By News 5 Staff Posted: 6:22 PM, Mar 28, 2019 — CLEVELAND — A lawsuit filed against University Hospitals, equipment manufacturers and delivery services that was unsealed on Tuesday describes a series…
Published by Springfield News-Sun By Thomas Gnau Updated Feb 25, 2019 — DAYTON — A U.S. District Court judge has ordered a former Dayton-area financial broker to pay more than $1.1 million in a civil case brought against him…
Published by Dayton Daily News By Thomas Gnau Updated Oct 02, 2018 — A former Dayton investment advisor misappropriated more than $1.6 million from clients — many who were elderly — for the past 14 years, the U.S. Securities…
Published by HoumaToday.com By Dan Copp Posted Jan 31, 2019 at 9:35 PMUpdated Jan 31, 2019 at 9:35 PM — A local businessman and former vice president of the Greater Lafourche Port Commission was arrested today after stealing nearly $1 million from his clients, authorities said. Kristian “Kris” Gaudet, 45,…