FINRA barred securities broker Emma Marie McAuley [CRD: 7178199, Auburn, Washington], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, McAuley worked for Edward Jones from November 4, 2019, to March 19, 2024. Keep reading to learn more about McAuley’s disclosures.
Notably, on January 21, 2025, FINRA issued Case: 2024081629801 sanctioning Emma McAuley for infractions. Specifically, McAuley was barred permanently from associating with any FINRA member in all capacities. Evidently, FINRA alleged that McAuley failed to respond to FINRA requests for information.
According to FINRA’s statement, McAuley was first suspended on September 25, 2024, after failing to provide requested information. A Notice of Suspension was followed by a Suspension from Association letter dated October 21, 2024. FINRA’s rules required McAuley to request termination of the suspension within three months. Because McAuley did not make this request, the suspension converted into a permanent bar on January 21, 2025. As a result, McAuley is indefinitely barred from working in any capacity with any FINRA member.
Evidently, Edward Jones disaffiliated with McAuley on February 20, 2024. Allegedly, McAuley voluntarily resigned while the firm was conducting an internal review into her discretionary trading.
Do you have concerns or questions regarding investments you made with Emma McAuley? You can get in touch with Soreide Law Group online or at (888) 760-6552 and consult with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the country. Also, the firm works on a contingency fee arrangement and advances all costs. McAuley and brokerage firms McAuley worked for deny allegations of sales practice violations.
FINRA barred securities broker Emma Marie McAuley [CRD: 7178199, Auburn, Washington], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, McAuley worked for Edward Jones from November 4, 2019, to March 19, 2024. Keep reading to learn more about McAuley’s disclosures. FINRA Sanctioned McAuley For Failure To Respond Notably, on January 21, 2025, […]
Investors reportedly complained about securities broker Andrew Spiro Pandis [CRD: 2928410, Forest Hills, New York], according to disclosures on FINRA BrokerCheck. Evidently, Pandis worked for Cetera Investment Services LLC from December 1, 2017, to July 24, 2025. Read on to discover more about the disclosures involving Pandis. Essex National Securities LLC Investor Accused Pandis Of […]
AEGIS CAPITAL CORP, with its main office located in New York, was censured, and fined $275,000.00 according to the FINRA report dated October 17, 2025. A recent article from FNG, states that since 2019, AEGIS CAPITAL CORP has paid several million dollars to its corporate parent. Allegedly, Aegis recorded the payments in its general ledger […]
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