SOREIDE LAW GROUP: Julie Rae Steinbauer, Formerly with AXA ADVISORS of ORLANDO, Fined and Suspended by FINRA

By Press release submission | Jun 25, 2018

Soreide Law Group issued the following announcement on June 21.

Soreide Law Group, based in Pompano Beach, Florida, obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, June 2018.”

Julie Rae Steinbauer (CRD #6753791, Winter Park, Florida) was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for 18 months for allegedly possessing a prohibited device while taking the Series 7 examination.

FINRA’s ãndings stated that prior to beginning the examination, Julie Rae Steinbauer attested that she had read and would abide by the FINRA Test Center Rules of Conduct, which prohibit the use or possession of certain items, including, among other things, electronic devices, in the examination room or during unscheduled restroom breaks. During the test session, Julie Rae Steinbauer possessed and had access to her cellular phone, which is prohibited by the FINRA Test Center Rules of Conduct.

The suspension is in effect from April 16, 2018, through October 15, 2019. (FINRA Case #2017056134501)

According to FINRA’s BrokerCheck, Julie Rae Steinbauer has 1 Disclosure on her FINRA report. Steinbauer has been in the securities industry for 1 year and was listed with the following firm:

09/25/2017 – 03/26/2018 AXA ADVISORS, LLC – ORLANDO, FL

If you experienced financial losses due to the actions or recommendations of Julie Rae Steinbauer formerly with AXA ADVISORS of Orlando, Florida, contact an experienced securities lawyer at no cost to you, at Soreide Law Group, conveniently based in Florida, for a consultation regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552

Soreide Law Group represents clients nationwide before FINRA. We operate on a contingency fee basis, no fee if no recovery.

Original source can be found here.

Source: Soreide Law Group

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