Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jenna Kang (Kang), previously associated with Axa Advisors, LLC, has at least 9 disclosable events. These events include 8 customer complaints, one regulatory event, alleging that Kang recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on October 08, 2020.
Without admitting or denying the findings, Kang consented to the sanction and to the entry of findings that she refused to produce the information and documents requested by FINRA in connection with its investigation into whether Kang had signed customer signatures on her member firm’s documents.