DID JENNIFER LING CAUSE YOU INVESTMENT LOSSES?
Jennifer Ling Formerly With Axiom Capital Management, Inc. Has 7 Customer Complaints For Alleged Broker Misconduct
Who is Jennifer Ling formerly with Axiom Capital Management, Inc.?
Jennifer Ling (CRD #3277203) who is currently registered with Axiom Capital Management, Inc. and located in New York, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Axiom Capital Management, Inc., Jennifer Ling was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Jennifer Ling Customer Complaints
Jennifer Ling has been the subject of 7 customer complaints that we know about to recover investment losses. Six of the customer complaints were settled by Jennifer Ling’s former employers in favor of the investors. One customer dispute remains pending in a FINRA arbitration proceeding.
Allegations Against Jennifer Ling
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Unsuitable recommendation of private placement alternative investment.
- Professional negligence, fraud, negligent misrepresentation relating to promissory note investments issued by Aequitas Commercial Finance.
- Negligence, gross negligence, misrepresentation, omissions of material facts, and breach of fiduciary duty relating to promissory note investments.
- Failure to adequately disclose the risks relating to a promissory note investment.
- Violations of FINRA rules and California law related to the purchases of private placements.
Jennifer Ling Red Flags & Your Rights As An Investor
Of course, Jennifer Ling did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Jennifer Ling at Axiom Capital Management, Inc. on alert to review carefully the activity and performance of their accounts and question whether Jennifer Ling has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Axiom Capital Management, Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Axiom Capital Management, Inc. Due To Jennifer Ling
If you have questions about Axiom Capital Management, Inc. and/or Jennifer Ling and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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