November 2018-Beaumont, TX
According to publicly available records Celia Mae Scott , (CRD# 2870484) , a stockbroker who was previously registered with AXA Advisors, disclose the settlement of a customer dispute .
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In 1/2018 a customer of AXA Advisors, was paid $60,000 to resolve allegations that Scott misrepresented an annuity that he sold to the customer.
Scott was employed by AXA Advisors from December 2007 until January of 2016. She has been employed by LPL Financial Services since 12/2015. Scott discloses business affiliations with Good LIfe Advisors and Scott Wealth Management, both in Beaumont, TX.
If you have losses in an account in an account handled by Celia Mae Scott, contact us for a no charge consultation to learn how you may be able to recover damages from his employer through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Florida-561 391 1900