Written by The White Law Group• September 22, 2021• 6:50 pm• Blog, Current Investigations, Securities Fraud Articles

Former AXA Advisor, Jenna Kang Barred from Securities Industry

FINRA Bars Former AXA Advisor, Jenna Kang after Failure to Provide Information in its Investigation

According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred Jenna Kang (Jihye Kang) (CRD#: 6334679) from the securities industry after she allegedly refused to produce the information and documents requested by FINRA in connection with its investigation into whether Kang had signed customer signatures on her member firm’s documents.

According to Kang’s broker report, she was affiliated with the following FINRA registered firm:

09/09/2016 – 04/15/2020, AXA ADVISORS, LLC (CRD#:6627), LOS ANGELES, CA

Kang’s broker report further indicates she has 9 customer disputes filed against her in 2020 and her member firm reportedly discharged her in April 2020 stating “during a review of a customer complaint, RR admitted to signing client names to product account applications.”

The White Law Group is investigating potential securities fraud lawsuits regarding the liability that Kang’s employers may have for failure to properly supervise her.

When brokers violate securities laws, such as making unauthorized transactions or misappropriation of customer’s funds, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. Brokerage firms that fail to monitor the business activities of their employees may be liable for investment losses due to negligent supervision for the misconduct of their employees.

The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois. We represent investors in FINRA arbitration claims in all 50 states including California. Our attorneys have recovered millions of dollars from many brokerage firms in the past.