Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions August 2017:”
Cathy Ione Earnest (aka CATHY RUE) (CRD #2606992, Chicago, Illinois)
was barred by FINRA for allegedly refusing to produce FINRA-requested information and documents in connection with an investigation into allegations received in a complaint by her member firm that she had received a $350,000 loan from a senior client and had not repaid it.
(FINRA Case #2017052944001)
FINRA has barred Cathy Ione Earnest from acting as a broker or otherwise associating with firms that sell securities to the public.
According to FINRA’s BrokerCheck, Cathy Ione Earnest has been in the securities industry for 19 years. She was listed with the following firm:
04/20/1995 - 03/04/2015 PRUCO SECURITIES, LLC - CHICAGO, IL
If you or an elderly loved one suffered losses due to the former Pruco Securities of Chicago broker, Cathy Ione Earnest’s actions or recommendations, or of another broker, call Soreide Law Group and speak to a securities lawyer to discuss the possible recovery of you financial losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA. We operate on a contingency fee basis. Let our years of experience work for you.
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