According to public BrokerCheck records with the Financial Industry Regulatory Authority (FINRA), New York, New York-based Axiom Capital Management broker Jennifer Ling has customer disputes against her. Ms. Ling has been accused of acting negligently, misrepresenting and omitting material facts, breaching her fiduciary duty, breaching contract, committing fraud and misrepresenting material facts in connection to promissory notes issued by Aequitas Commercial Finance. These are all against securities laws and internal firm rules. If you suffered losses with Ms. Ling you may be able to recover them by bringing a claim against Axiom on a contingency fee basis in the FINRA arbitration forum.
According to FINRA, Ms. Ling was previously registered with Charles Schwab & Co. in San Francisco, California from February 2000 until April 2005, Fidelity Brokerage Services in Sunnyvale, California from June 2005 until April 2011 and Axiom Capital Management in New York, New York from May 2015 until July 2017. She has two customer complaints against her, one of which is currently pending, and one criminal final disposition. She is not currently registered as a broker within the industry.
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