Securities Lawyers Blog
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Robert Doyle (Doyle), currently associated with Axiom Capital Management, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Doyle concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,000,000.00 on September 05, 2023.
Registered Representative took unauthorized discretion over the client’s account(s), excessive trading, suitability and fees.