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Jul 19 2017

Ex-AXA and Horace Mann Advisor Barred by FINRA Following Child Porn Charge

The Financial Industry Regulatory Authority has barred a former Horace Mann broker for failing to provide information relating to federal felony charges during its investigation of his termination from the firm.

Wollman began his securities career at AXA Advisors in September 2002 and was later affiliated with Horace Mann Investors for nearly 10 years. He held Series 7 and 66 licenses, and was dually employed by Horace Man as an insurance agent, selling insurance products offered by the affiliated Horace Mann Service Corporation.

On March 22nd, Wollman was charged with knowingly accessing a computer disk that contained child pornography, according to court documents filed in the United States District Court for the District of Nebraska.



Horace Mann terminated Wollman’s employment in April following his arrest and reported to FINRA that during his association with the firm, he was charged with a felony that constituted a federal offense.

According to FINRA, Wollman failed to amend his Form U4 to notify his employer of the criminal investigation, as required.

FINRA requested that Wollman provide documents and information, including whether he was notified in writing that he was the subject of a criminal investigation, but Wollman refused and told the regulators that he will not be seeking employment in the securities industry.

According to a signed letter of acceptance, waiver and consent signed by Wollman, he is accused of violating FINRA Rules 8210 and 2010 and is barred from associating with any FINRA-regulated firm in any capacity.

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Article by: The DI Wire


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