JOSEPH MICHAEL KELEHER is currently employed as a Broker and/or Investment Adviser at AXA ADVISORS, LLC located at 40 MONUMENT ROAD, BALA CYNWYD, PA, 19004.
JOSEPH MICHAEL KELEHER has worked at AXA ADVISORS, LLC since April 16, 1992
Disclosure History
JOSEPH MICHAEL KELEHER has 2 Disclosure Event(s).
Date: October 12, 2004 Category: Customer Dispute Allegations: CLAIMANT ALLEGES I SOLD HER INVESTMENTS WHICH WERE PREMISED UPON FALSE, MISLEDING AND/OR ERRONEOUS INFORMATION AND THAT THESE INVESTMENTS WERE UNSUITABLE. Damage Amount Requested: $150,000.00 Settlement Amount: $30,000.00 Broker Comment: THE FIRM AGREED TO SETTLE IN GOOD FAITH IN THE AMOUNT OF $30,000.00. RR KELEHER'S ERRORS AND OMISSIONS CARRIER CONTRIBUTED $22,500.00 TO THE SETTLEMENT. I WOULD LIKE IT TO BE NOTED THAT THIS ARBITRATION WAS FILED AFTER THE CLIENT FAILED TO RECEIVE ACTION BY THE PENNSYLVANIA INSURANCE DEPARTMENT. IT IS MY OPINION THAT THE ARBITRATION AWARD WAS USED TO PAY OPEN LEGAL FEES AND THEREFORE THE CLIENT HAD NO GAIN. I CONTINUE TO STAND BY THE SALE OF THE GUARANTEED ANNUITY.
Date: October 23, 2002 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT SHE DID NOT GIVE APPROVAL TO CHANGE THE INVESTMENTS IN HER ACCOUNTS. FURTHER, SHE ALLEGES THAT I MADE INVESTMENT TRANSACTIONS IN HER ACCOUNTS RESULTING IN FIXED RATE ANNUITY POLICIES BEING CONVERTED TO VARIABLE RETIREMENT ANNUITY POLICIES WITH THE MAJORITY OF HER ACCOUNTS BEING INVESTED IN CLASS B AGRESSIVE GROWTH FUNDS. DAMAGES ARE UNSPECIFIED. Broker Comment: EQUITABLE FOUND NO BASIS TO THE CUSTOMER COMPLAINT.
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