FINRA Sanctions Cathie Joughin

Soreide Law Group is looking into possible investor claims against securities broker Cathie Ann Joughin (also known as Cathie Joughin Barnard) (CRD: 1044884, Bakersfield, California). Particularly, FINRA sanctioned the securities broker, who worked for Ameriprise Financial Services LLC. Allegedly, Joughin did not provide documents and information to FINRA during its investigation into possible violations of FINRA rules. Here is a brief summary of FINRA’s allegations against Joughin.

Cathie Joughin Sanctioned By FINRA For Failure To Provide Information

Particularly, FINRA issued Case: 2022073830201 on November 28, 2022, sanctioning Cathie Joughin for infractions. Allegedly, Joughin did not provide documents and information to FINRA during its investigation as it pertained to the basis of her termination from Ameriprise Financial Services LLC. Therefore, Joughin was barred. Notably, this means that she cannot associate with FINRA-member entities as a securities broker or in other capacities.

Ameriprise Financial Services LLC Terminates Joughin’s Registration Following Internal Review

Evidently, on December 17, 2021, Ameriprise Financial Services LLC disaffiliated with Joughin. Specifically, Ameriprise Financial Services LLC alleged that Joughin departed the firm when under an internal review concerning a possible violation of the firm’s compliance policy. Joughin stopped working for Ameriprise Financial Services LLC on January 13, 2022.

Damages Resulting From Ameriprise Financial Services LLC Securities Broker Cathie Joughin?

Have you experienced damages due to the actions of Cathie Joughin? If so, you can reach out to Soreide Law Group at (888) 760-6552 and talk with an investment lawyer regarding a potential recovery of your investment losses. Soreide Law Group, who has successfully recovered money for hundreds of investors throughout the United States, represents clients on a contingency fee basis and advances all costs. Joughin and brokerage firms Joughin worked for deny any and all allegations of sales practice violations.