The Financial Industry Regulatory Authority (FINRA) BrokerCheck report on Lisa Ann Brumm, aka Lisa Ann Moon (CRD#: 2834764, Portland, Oregon), contains two investor disputes and a regulatory action. Supposedly, the investor disputes from 2017-2019 concern Brumm's registrations at AXA Advisors, who is now known as Equitable Advisors. The regulatory action, which FINRA brought in 2021, […]

Securities Broker Donald Sperring (AXA Advisors, Equitable Advisors) Barred, Involved In Client Disputes The Financial Industry Regulatory Authority (FINRA) contains important information on securities broker Donald George Sperring (CRD#: 2462982, Pittsburgh, Pennsylvania). Specifically, BrokerCheck shows that Sperring is involved in three investor disputes. Not only that, but he also received a FINRA bar (expulsion) in […]

Broker Jenna Kang (Equitable Advisors) Barred By FINRA, Accused Of Unauthorized Transactions By Investors Soreide Law Group is investigating bringing potential investor disputes against securities broker Jenna Kang (“Jihye Kang”) (CRD#: 6334679, Los Angeles, CA). Notably, FINRA barred Kang in October 2020 because she allegedly failed to comply with an investigation. Not only that, but […]

Equitable Advisors' Ryan Ott Suspended, Facing Investor Disputes Soreide Law Group has come across some important information relating to Ryan James Ott (CRD#: 6173815, Woodbridge, New Jersey). Notably, FINRA suspended Ott on August 23, 2021. It will potentially bar him by November 1, 2021, if he fails to either cooperate with its inquiry or get […]

AXA Advisors, Equitable Advisors Clients Bring Complaints About Douglas Keller Soreide Law Group provides you with an update on the disclosures pertaining to securities broker Douglas Eugene Keller (CRD#: 1272529, Red Bank, New Jersey). Specifically, there are investor disputes and regulatory sanctions involving the securities broker, who worked for firms including AXA Advisors (2008 to […]