Broker and investment adviser Jenna Kang, formerly with AXA Advisors, LLC has been barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or otherwise associating with a broker-dealer firm. FINRA’s BrokerCheck sheds light on the customer disputes that cloud Kang’s brief career as a broker and investment adviser, ranging from 2016 to 2020. The report details one regulatory event, nine customer disputes, and one termination.
FINRA initiated a formal proceeding against Kang in October 2020. FINRA was reportedly investigating whether the broker had signed customer signatures on various firm documents. The regulatory authority requested that Kang produce documents and information to facilitate their investigation. According to FINRA, Kang refused. She neither admitted nor denied FINRA’s findings and consented to permanent barring from acting as a broker.
Eight of the customer disputes against Kang have been settled.
A single customer dispute regarding allegations of a similar forged signature is still pending.
On April 14, 2020, Kang was discharged from AXA Advisors, LLC. According to BrokerCheck, while AXA personnel were reviewing a customer complaint, Kang admitted to signing client names to product account applications.
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Edison's famous adage can't ever be ignored of course: 1 part inspiration and 99 parts perspiration. However the two attitudes must be present indissolubly--both are essential--if results are to be obtained. Peter Mougey’s group is aware of such a requirement, they work very hard at the latter, and the former comes easily to them, a rare combination anywhere to be found indeed. Raphael B.
I would like to express my sincere gratitude to Peter Mougey and your entire team on behalf of my family for the amazing job done during your representation. From day one I received kindness, rapid responses to all of my questions, with polite and patient encounters with all of your staff assistants. You are the best- and I will be eternally grateful to you and your entire team. Michelle E.