JACE MICHAEL BECK is currently employed as a Broker and/or Investment Adviser at AXA ADVISORS, LLC located at 2050 MAIN STREET, SUITE 520, IRVINE, CA, 92614.
JACE MICHAEL BECK has worked at AXA ADVISORS, LLC since September 11, 2003
Disclosure History
JACE MICHAEL BECK has 2 Disclosure Event(s).
Date: May 11, 2017 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: August 12, 2008 Category: Customer Dispute Allegations: CUSTOMER ALLEGES AGENT PROVIDED IMPROPER ADVICE IN CONNECTION WITH TWO WITHDRAWALS FROM HER IRA DURING 2007. CUSTOMER SEEKS DAMAGES IN THE AMOUNT OF $32,227.00 FOR TAX LIABILITIES. Damage Amount Requested: $32,227.00 Settlement Amount: $32,227.00 Broker Comment: THE PARTIES HAVE AGREED TO REIMBURSE THE CUSTOMER FOR ALL TAXES AND PENALTIES ASSOCIATED WITH THE DISTRIBUTION TAKEN FROM THE IRA ACCOUNT. LOSS TO FIRM $32,227.00. AGENT'S E&O CARRIER IS CONTRIBUTING THE FULL LOSS.
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