Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Sperring (Sperring), previously associated with Axa Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sperring recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $40,000.00 on July 09, 2021.
Client alleges the RR potentially misappropriated funds in connection with the purchase of a CD investment.