FINRA Sanctions Amy Cash

Soreide Law Group is investigating possible investor claims against securities broker Amy Cash (also known as Amy Marjorie O'Brien) [CRD: 5765481, Fort Mill, SC]. Evidently, FINRA sanctioned the securities broker, who worked for LPL Financial LLC. Namely, Cash failed to provide information and documents to FINRA when it investigated potential FINRA rule infractions.

Amy Cash Barred By FINRA For Failure To Provide Information

Evidently, FINRA issued Case: 2021073002001 on December 23, 2021, barring Amy Cash for infractions. Supposedly, Cash failed to provide information and documents to FINRA when it investigated potential FINRA rule infractions. Notably, the regulator’s rules call for brokers to cooperate in investigations or else face sanctions including a potential bar (most severe sanction) as securities broker. Supposedly, FINRA’s investigation centered on whether the broker improperly held funds from a client.

Cash Employment Information

• Cash worked for Cetera Advisors LLC in Otis, IN, as a securities broker from March of 2020 to June of 2021.
• Cash worked for Edward Jones in South Bend, IN, as a securities broker from January of 2020 to April of 2020.
• Cash worked for LPL Financial LLC in Fort Mill, SC, as a securities broker from June of 2021 to December of 2021.

Did LPL Financial LLC Securities Broker Amy Cash Cause You To Experience Damages?

Reach out to Soreide Law Group at (888) 760-6552 and speak with a securities lawyer about a possible recovery of your investment losses. Soreide Law Group, who has successfully recovered money for many investors in the United States, represents clients on a contingency fee basis and advances all costs. The firm will take the time to fully understand your situation and will carefully explain your legal options. However, Amy Cash and brokerage firms Cash worked for deny any and all allegations of sales practice violations.