Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Spiegel (Spiegel), previously associated with Axa Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Spiegel recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on May 21, 2025.
Client alleges the RR made misrepresentations in connection with a variable life insurance policy purchased in 1996.