MICHAEL BENJAMIN SPIVAK

MICHAEL BENJAMIN SPIVAK is currently employed as a Broker and/or Investment Adviser at AXA ADVISORS, LLC located at 40 MONUMENT ROAD, BALA CYNWYD, PA, 19004.

MICHAEL BENJAMIN SPIVAK has worked at AXA ADVISORS, LLC since May 11, 2012

Disclosure History

MICHAEL BENJAMIN SPIVAK has 4 Disclosure Event(s).

Date: October 31, 2017
Category: Judgment / Lien
Judgment/Lien Amount: $34,216.63
Judgment/Lien Type: Tax

Date: October 16, 2017
Category: Judgment / Lien
Judgment/Lien Amount: $7,321.29
Judgment/Lien Type: Tax

Date: July 05, 2016
Category: Judgment / Lien
Judgment/Lien Amount: $151,054.13
Judgment/Lien Type: Tax

Date: March 31, 2004
Category: Customer Dispute
Allegations: CLIENT ALLEGES HER ENTIRE PORTFOLIO WAS LIQUIDATED AND NEW SECURITIES WERE PURCHASED WITHOUT HER CONSENT. CLIENT REQUESTED ASSISTANCE, BUT DID NOT SPECIFY ANY AMOUNT OF DAMAGES.
Settlement Amount: $6,084.44
Broker Comment: THE FIRM AGREED TO REVERSE THE TRANSACTIONS AND MAKE THE CLIENT WHOLE. THIS RESULTED IN A LOSS OF $6,084.44

More Information

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

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