Constance Marie Larsen (CRD #1171750, Centreville, Virginia)
was assessed a deferred fine of $20,000 and suspended by FINRA for two years for allegedly borrowing $16,900 from an elderly client without notifying or receiving pre-approval from her member firm.
FINRA's findings stated that Larsen knew the firm’s written procedures prohibited the loans and she took steps to hide the loans from her firm. Larsen intentionally failed to disclose the loans during her firm’s online annual compliance process and falsely stated to her firm that she had not borrowed funds from clients. As a result of her misrepresentation, her firm maintained false records.
FINRA's findings also stated that Larsen willfully failed to disclose civil judgments totaling $56,320.10 on her Form U4. Larsen was aware of at least two of those judgements but decided not to disclose them until the matters were resolved.
Larsen's suspension is in effect from November 17, 2014, through November 16, 2016.
(FINRA Case #2013038483201)
Constance Marie Larsen was registered in the securities industry for 30 years and was previously registered with the following securities firm:
07/1983 - 10/2013 PRUCO SECURITIES, LLC. (CRD# 5685) - ST. LOUIS PARK, MN
This previous summation was obtained on FINRA's website listed under "Disciplinary and Other Actions, January, 2015" and ends here.
Soreide Law Group represents clients nationwide before FINRA. Call an attorney for a free consultation on how to potentially recover investment losses due to your broker or financial advisor's recommendations at 888-760-6552.
Soreide Law Group is investigating potential investor claims involving Blue Owl Capital Corporation (NYSE: OBDC), including whether brokers and financial advisors properly explained the risks surrounding this publicly traded business development company and its related private credit platform. OBDC invests primarily in loans to middle-market companies and is often marketed as an income-generating investment. However, […]
Investors potentially experienced sales practice violations by securities broker Mark Perry Kissinger [CRD: 4546631, Frisco, Texas], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kissinger worked for NYLIFE Securities LLC since November 27, 2018, and Eagle Strategies LLC since March 15, 2023. Read on for a better understanding about the disclosures involving this […]
Investors have reportedly disputed the sales practices of securities broker Robert Steven Wilkinson [CRD: 1180321, Oakland, California], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Wilkinson worked for Western International Securities Inc. from November 26, 2013, to June 5, 2025, and later registered with LPL Financial LLC beginning June 5, […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com