Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Todd (Todd), previously associated with Axa Advisors, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Todd 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 $147,000.00 on May 07, 2025.
This litigation arises from a series of unsuitable financial product and investment strategy recommendations made by Defendants to Plaintiff between May 2018 and February 2023.