Articles Posted in Jennifer Ling

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jennifer Ling (Ling), previously associated with Axiom Capital Management, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ling recommended unsuitable investments in different investment products including debt securities among other…

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Jennifer Ling (Ling), formerly associated with Axiom Capital Management, Inc. (Axiom Capital) in New York, New York has been subject to three customer complaints concerning her sale of Aequitas related promissory notes. The Securities and Exchange Commission…