The Financial Industry Regulatory Authority (FINRA) has fined former AXA Advisors broker, $5,000 and suspended her from associating with any FINRA member in all capacities for 18 months for alleged securities laws violations. Julie Steinbauer was accused of possessing a prohibited device while taking the Series 7 examination. From September 2017 until March 2018, Steinbauer was registered with AXA Advisors in Orlando, Florida. This is according to her FINRA online BrokerCheck report. She has one regulatory matter against her, and is not currently registered as a broker and has been suspended from the industry. AXA Advisors may be liable for investment losses on a contingency fee basis.
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