Investors might have sustained losses due to securities broker Kiefer [CRD: 2271043, Edmond, Oklahoma], according to disclosures on FINRA BrokerCheck. Kiefer has been registered with Equitable Advisors LLC since June 2, 2006. Previously, he was associated with AXA Advisors. Keep reading to learn more about the disclosures concerning Kiefer.
Particularly, an Equitable Advisors LLC client filed FINRA Arbitration No. 24-00604 about Jerry Kiefer. The client alleged that Kiefer made unsuitable recommendations regarding real estate securities. Because of this, the client allegedly sustained damages amounting to $99,000. Therefore, on January 10, 2025, Equitable Advisors LLC settled this matter by paying the client $7,500 in damages.
Specifically, a client of Equitable Advisors LLC contested Jerry Kiefer’s sales practices, according to a complaint dated January 3, 2024. Allegedly, Kiefer made misrepresentations regarding securities. It appears that Kiefer allegedly caused the client to sustain damages. On February 22, 2024, Equitable Advisors LLC denied the complaint.
Notably, an AXA Advisors client filed Civil Action No. CJ-2011-6424 about Kiefer. Evidently, the client alleged that Kiefer misrepresented the terms of an insurance policy regarding its flexibility, as well as the client's ability to reduce the death benefit or monthly premiums. Because of this, the client allegedly sustained damages on life insurance products. Therefore, on March 31, 2014, AXA Advisors settled this matter by paying the client $165,000 in damages.
Are you looking for more information about Jerry Kiefer? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. Kiefer and brokerage firms Kiefer worked for deny accusations of sales practice violations.
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Investors potentially experienced sales practice violations by securities broker Sung Moo Cho (also known as Sam Cho) [CRD: 5015906, New York, New York], and FINRA barred him, given the public information found on FINRA BrokerCheck. Cho was associated with Ameriprise Financial Services from January 22, 2021, to October 21, 2025, and Citigroup Global Markets from […]
Investors potentially incurred losses because of securities broker Raymond Trey Brown [CRD: 6170291, Frisco, Texas], and FINRA sanctioned him, according to disclosures on FINRA BrokerCheck. Brown worked for Northwestern Mutual Investment Services LLC, from March 17, 2014, to December 13, 2024. See below to learn more about Brown’s disclosures. FINRA Sanctioned Raymond Brown For Failure […]
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