EDWARD AARON BALFOUR

EDWARD AARON BALFOUR is currently employed as a Broker and/or Investment Adviser at AXA ADVISORS, LLC located at 10500 NE 8TH STREET, SUITE 1600, BELLEVUE, WA, 98004.

EDWARD AARON BALFOUR has worked at AXA ADVISORS, LLC since June 01, 2017

Disclosure History

EDWARD AARON BALFOUR has 2 Disclosure Event(s).

Date: August 22, 2016
Category: Customer Dispute
Allegations: Client alleges misrepresentation in the purchase of a variable annuity in 2011.
Damage Amount Requested: $200,000.00
Broker Comment: The Firm found no basis to the customer complaint

Date: March 19, 2007
Category: Customer Dispute
Allegations: CLIENT ALLEGES MISREPRESENTATION IN THE SALE OF A 2006 VARIABLE LIFE INSURANCE POLICY. CLIENT ALLEGES HE WAS INFORMED THAT BY PURCHASING THIS TYPE OF POLICY, IT WOULD GIVE HIM COMPLETE ACCESS TO HIS FUNDS WITHOUT PENALTY AT ANY TIME. CLIENT FURTHER ALLEGES THAT THE TRANSACTION FEES WERE EXCEDING HIS RETURN. CLIENT IS REQUESTING A REIMBURSEMENT OF ALL FUNDS DEPOSITED IN THE ACCOUNT MINUS THE TRANSACTION FEES.
Broker Comment: THE FIRM FOUND NO BASIS TO THE CUSTOMER'S COMPLAINT.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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