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Axiom Capital Management

Trevor Carney-Ascendant Alternative Strategies Broker-Discloses Regulatory Event-Austin, TX

Trevor Carney-Ascendant Alternative Strategies Broker-Discloses Regulatory Event-Austin, TX 150 150 Rex Securities Law

January 2019 – Austin, TX According to publicly available records Trevor Martin Carney  (CRD#5657735) ,  a  stockbroker who is currently registered with Ascendant Alternative Strategies ,  disclose a Regulatory Event and two currently outstanding judgment/liens.…

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Jennifer Ling-Former Axiom Capital Management Broker-Subject of Customer Suits Over Aequitas Note Investments-Austin, TX

Jennifer Ling-Former Axiom Capital Management Broker-Subject of Customer Suits Over Aequitas Note Investments-Austin, TX 150 150 Rex Securities Law

March 2019-Austin, TX  According to publicly available records    Jennifer Ling , a  stockbroker who is not currently registered and who was last registered with Axiom Capital Management, and before that Fidelity…

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Trevor M. Carney-Former Axiom Capital Management Broker-Sanctioned by Texas Regulator-Austin, TX

Trevor M. Carney-Former Axiom Capital Management Broker-Sanctioned by Texas Regulator-Austin, TX 150 150 Rex Securities Law

JUNE 2017- Austin, Texas According to publicly available records Trevor M. Carney (CRD#5657735) ,  a  stockbroker who is employed by  Ascendant Alternative Strategies, discloses a recent regulatory event and two outstanding judgment/liens. The Financial…

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Mark David Martino-Former Axiom Capital Management Broker-Discloses Customer Dispute-New York

Mark David Martino-Former Axiom Capital Management Broker-Discloses Customer Dispute-New York 150 150 Rex Securities Law

May 2018 UPDATE-In April 2018 an arbitration panel in Hartford, CT, dismissed the claims against Mark Martino and recommended expungement of all references to FINRA arbitration 17-01008 (see below)  from…

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Kristopher R. Tung-Axiom Capital Mgmt. Broker-Discloses Pending Customer Arbitration

Kristopher R. Tung-Axiom Capital Mgmt. Broker-Discloses Pending Customer Arbitration 150 150 Rex Securities Law

August  2016-Westbury, New York The FINRA records of Kristopher R. Tung ,  a  stock broker who is currently employed by Axiom Capital Management  , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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