Finra bars former AXA rep

Cleveland office fired him last year for possible market manipulation

Aug 24, 2017 @ 2:41 pm

By Investment News

John P. Correnti, a former registered representative at AXA Advisors, has been barred by Finra for failing to provide testimony and documents connected with an investigation into possible rule violations.

According to the Financial Industry Regulatory Authority Inc.'s BrokerCheck database, Mr. Correnti, who worked at AXA Advisors in Cleveland, Ohio, was terminated by the firm in July 2016 "due to his apparent involvement in the possible market manipulation of a low price security." He had been with AXA for less than a year.

Mr. Correnti began his securities career in 2007 at MVP Financial and moved to Forest Securities in 2015. He joined AXA Advisors later that year.

0
Comments

What do you think?

View comments

Recommended for you

Featured video

INTV

Why a sabbatical is the perk advisory firms can’t overlook

Financial advice firms offering this benefit praise the impact it's had on their businesses.

Latest news & opinion

Pass-through tax strategies for business-owner clients

Shifting business structure, changing filing status and spinning off equipment are examples of ways business owners can take advantage of the deduction.

Finra anticipates oversight role for SEC advice rule

CEO Robert Cook says one area for examination could be the proposed requirement that brokers act in the best interests of their clients.

IBDs with the most CFPs

Here are the 10 independent broker-dealers that employ the most certified financial planner professionals.

Why we must create a more diverse and sustainable financial planning profession

CEO explains how, why a firm should commit to conscious inclusion.

Pope Francis wants financial advisers to work like fiduciaries

Vatican bulletin admonishes advisers who act against the best interests of their clients.

X

Hi! Glad you're here and we hope you like all the great work we do here at InvestmentNews. But what we do is expensive and is funded in part by our sponsors. So won't you show our sponsors a little love by whitelisting investmentnews.com? It'll help us continue to serve you.

Yes, show me how to whitelist investmentnews.com

Ad blocker detected. Please whitelist us or give premium a try.

X

Subscribe and Save 60%

Premium Access
Print + Digital

Learn more
Subscribe to Print