Did you or someone you know lose money with Nickolas V. Waggoner, a former broker with AXA Advisors? If so, you may be able to recover those losses by calling our securities law firm in Chicago at 312-332-4200. Attorneys are standing by to take your call, which is free. There is no obligation. We may be able to bring a claim against AXA Advisors on your behalf to recover your losses on a contingency fee basis. AXA Advisors may be responsible for Waggoner’s misconduct.
According to a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Nickolas Vernon Waggoner was terminated from AXA on June 17, 2015. Allegedly, between March 2015 and April 2015, he intentionally provided American Express with false information in order to obtain 25 American Express credit cards for a friend. He gave the credit card company fictitious business names, revenues, profits and number of employees in order to obtain the credit cards, which he then sent to his friend to use in a ticket resale business. The friend allegedly purchased and resold concert and sporting event tickets to use them to bypass event ticket purchase limits in order to re sell them. This is against securities rules and regulations. For his transgressions, Waggoner was suspended from the industry for 18 months and fined $10,000. Waggoner was registered with AXA Advisors in Los Angeles, California from August 2013 until June 2015. He is not currently registered with any firm and is not licensed within the industry.
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