Soreide Law Group is investigating possible investor claims against securities broker Mark Tuller (also known as Mark Whitney Tuller) [CRD: 1886487, Marietta, GA]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosed that investors complained about the securities broker, who worked for Wells Fargo Clearing Services LLC. Notably, investors allege sales practice violations in these disputes, […]

AXA Advisors, LLC, without admitting or denying the findings, prior to a regulatory hearing and without an adjudication of any issue, submitted a Letter of Acceptance, Waiver and Consent (“AWC”), to the Financial Industry Regulatory Authority (FINRA)which FINRA accepted.  AXA Advisors, LLC, Respondent (AWC 2009020149901, March 13, 2012).  AXA Advisors, LLC employs aproximately 5,800 registered representatives at […]