fbpx

New York Department of Financial Services

SEC Issues Investor Bulletin:How to Check Out Your Financial Professional

SEC Issues Investor Bulletin:How to Check Out Your Financial Professional 150 150 Rex Securities Law

The Securities & Exchange Commission’s  (SEC) Office of Investor Education and Advocacy issues alerts and bulletins from time to time designed to offer resources to address problems investors may face. Here…

read more

AXA Equitable Hit with $20 Million Fine Over Annuities

AXA Equitable Hit with $20 Million Fine Over Annuities 150 150 Rex Securities Law

By Robert H. Rex, Esq. In March 2014, the New York Department of Financial Services fined Axa Equitable Life Insurance Co. $20 million after the regulator accused AXA of limiting returns…

read more