Ronald Berman Formerly Of Axiom Capital Management Withdraws Maryland Registration
On March 25, 2015, Ronald M. Berman, formerly of Axiom Capital Management, Inc., withdrew his registration with the State of Maryland and agreed not to reapply for registration in Maryland as a broker-dealer, agent, investment adviser or investment adviser representative for a period of five (5) years. Previously, Mr. Berman’s general securities representative registration was revoked by FINRA based upon Mr. Berman’s disciplinary and regulatory record, Axiom’s failure to show that it could effectively supervise Mr. Berman and Mr. Berman’s outstanding loans and the conflict presented by these loans. To see the order click here.
If you believe that you may have been the victim of stockbroker misconduct at the hands of Mr. Berman, Axiom Capital Management or any other broker or firm, please contact West & West, LLC for a free initial consultation.