The Financial Industry Regulatory Authority (FINRA) provides important information in regard to securities broker Ian Ha (CRD#: 5679255, Los Angeles, California). It appears that the disclosures involving Ha may concern his employment at securities firms Infinity Financial Services (his employer from 2018 to 2020) or AXA Advisors LLC (his employer from 2009 to 2018). Here is an overview of the disclosures involving allegations of misrepresentation and unauthorized transactions and what you could do if you experienced damages from sales practice violations.
Evidently, FINRA barred Ian Ha as a securities broker effective December 10, 2021. The regulator typically bars a securities broker who fails to comply during an investigation or inquiry. Notably, the regulator alleges that Ha did not respond to a request for information.
Also, it appears that an AXA Advisors client took issue with Ian Ha’s representations, per a dispute on April 21, 2020. Supposedly, the client experienced damages stemming from Ha’s inappropriate sales practices concerning two incentive life insurance policies replaced with universal life insurance. Evidently, on May 21, 2020, AXA Advisors denied the client’s allegations and request for compensation in this investment dispute.
Moreover, the firm terminated Ian Ha as a securities broker on October 8, 2018. Supposedly, Ha admitted that he made trades using discretion in client accounts when he did not have clients’ authorizations. AXA Advisors claims that Ha violated its policy.
Did securities broker Ian Ha cause you to experience losses? If so, you should contact Soreide Law Group at (888) 760-6552 for help with potentially recovering your losses. Soreide Law Group represents clients on a contingency fee basis and advances all costs. The firm has recovered meaningful compensation for United States investors that incurred damages from securities brokers or financial advisors. Please note that Ha denies all accusations of improper sales practices.
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