Investors reportedly may have incurred losses due to securities broker Ashlee Nicole Godfrey (also known as Ashlee Nicole Bramlett and Ashlee Nicole Sharp) [CRD: 5889108, Dalton, Georgia], according to disclosures on FINRA BrokerCheck. According to the regulator, Godfrey worked for Benjamin F. Edwards Company Inc. from October 1, 2021, to November 21, 2023, and for Wells Fargo Clearing Services LLC from February 14, 2014, to October 14, 2021. Here’s more about the disclosures concerning Godfrey.
Particularly, on September 9, 2024, FINRA issued Case: 2022073893001, sanctioning Ashlee Godfrey. Specifically, Godfrey was barred permanently from associating with a broker dealer firm in any capacity. FINRA alleged that Godfrey failed to provide testimony requested by FINRA during its investigation into misstatements she made to a client of her employer using an unapproved communication platform.
According to FINRA’s findings, Godfrey possibly misrepresented to a client that certain preferred securities were insured. Without admitting or denying the findings, Godfrey consented to the sanction through an Acceptance, Waiver Consent (AWC) agreement. As a result, Godfrey is barred indefinitely from acting in any capacity in the securities industry, effective September 9, 2024.
Specifically, a client of Wells Fargo Advisors LLC contested Ashlee Godfrey’s sales practices, according to a complaint. Allegedly, Godfrey misrepresented to the client that investments in preferred securities were guaranteed. It appears that Godfrey’s actions caused the client to sustain damages on stocks.
Therefore, Wells Fargo Advisors LLC opted to settle the matter on January 24, 2023, by compensating the client in the amount of $32,000. Godfrey did not personally contribute to the settlement amount.
Also, a client filed a complaint about Ashlee Godfrey. The client alleged that Godfrey made misrepresentations of material fact, stating that the investments were insured and guaranteed. Because of this, the client allegedly sustained damages on stocks. Therefore, on August 9, 2022, Wells Fargo Advisors LLC settled this matter by paying the client $15,435.50 in damages.
Particularly, a client of Wells Fargo Advisors LLC contested Ashlee Godfrey’s sales practices, according to a complaint. Allegedly, Godfrey made misrepresentations of material fact, advising the client that her securities were insured. It appears that Godfrey caused the client to sustain damages on stocks. Therefore, Wells Fargo Advisors LLC opted to settle the matter on June 1, 2022, by compensating the client in the amount of $27,558.83.
Specifically, a client of Wells Fargo Advisors LLC contested Ashlee Godfrey’s sales practices, according to a complaint. Allegedly, Godfrey made unsuitable recommendations in high-risk stocks. Therefore, Wells Fargo Advisors LLC opted to settle the matter on April 22, 2022, by compensating the client in the amount of $50,000.
Are you looking for more information about Ashlee Godfrey? If you incurred losses, contact Soreide Law Group online or at (888) 760-6552 and consult with a securities attorney concerning a potential recovery. Soreide Law Group has recovered losses for investors throughout the United States, represents clients on a contingency fee basis, and advances all costs. Godfrey and brokerage firms Godfrey worked for deny accusations of sales practice violations.
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