Investors possibly experienced losses because of securities broker Michael Gerard Gravelyn (also known as Mike Gravelyn) [CRD: 6569005, Grand Rapids, Michigan], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Not only that, but FINRA barred him. Evidently, Michael Gravelyn worked for Northwestern Mutual Investment Services from May 25, 2017, to June 14, 2017, […]

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 […]

Raymond James Financial Services Inc., has paid a $1.79 million arbitration award to an 87-year-old client after going to state court to appeal the judgment writes Darla Mercado, in a November 30, 2011, article for the InvestmentNews.com. The Honorable Judge Emily Tobolowsky, of the 298th Judicial District Court in Dallas last month confirmed the award […]