Unauthorized Trading by Axiom Capital Management, Inc. Broker Robert Doyle

Axiom Capital Management

Erez Law is currently investigating Axiom Capital Management, Inc. broker Robert Doyle (CRD# 2309859), who is accused of unauthorized trading. He has been registered with Axiom Capital Management, Inc. in New York, New York, since 2002.

Robert Doyle Customer Complaints

He has been the subject of three customer complaints between 2004 and 2023, one of which was closed without action, according to his CRD report:

September 2023. “Registered Representative took unauthorized discretion over the client’s account(s), excessive trading, suitability and fees.” The customer is seeking $1,000,000 in damages, and the case is currently pending. The complaint was regarding equity OTC and options, and it took place while he was registered with Axiom Capital Management, Inc.

Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Axiom Capital Management, Inc. may be liable for investment or other losses suffered by Robert Doyle’s customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.

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Author: Jeffrey Erez

The founder of Erez Law, Jeffrey Erez, focuses exclusively on securities arbitration and litigation. Mr. Erez passionately believes in representing aggrieved investors and obtaining justice for his clients through litigation.