Brent Spicuzza – Financial Advisor Brent Spicuzza Discharged from AXA Advisors LLC | Goodman & Nekvasil P.A., May Recover Investor Losses
Brent Spicuzza CRD #4134728
Brent Spicuzza was licensed with AXA Advisors, LLC from 2000 to 2015. FINRA reports that Brent Spicuzza resigned from AXA Advisors, LLC on November 19, 2015. AXA Advisors, LLC reported to FINRA that Brent Spicuzza resigned during Missouri Securities Department review regarding OBAs not disclosed to Firm.
FINRA reports that the State of Missouri penalized Brent Spicuzza $15,000 and disqualified Brent Spicuzza from exercising any supervisory authority or employment in any supervisory roles during the period of Brent Spicuzza’s registration with the State of Missouri.
FINRA also reports that an arbitration claim involving Brent Spicuzza’s conduct with AXA Advisors, LLC is currently pending. This claim alleges Brent Spicuzza implemented an unsuitable investment strategy with respect to annuities, brokerage accounts and retirement accounts starting in 2004. This pending arbitration claim alleges $1,100,000 in damages.
If you lost any money on investments with Brent Spicuzza, you may be able to recover your losses from AXA Advisors, LLC. This is because AXA Advisors, LLC had a duty to supervise Brent Spicuzza.
Did You Lose Money on Investments With Brent Spicuzza?
If you lost money on investments with Brent Spicuzza and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against AXA Advisors, LLC concerning Brent Spicuzza conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Brent Spicuzza and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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