Soreide Law Group, (888) 760-6552, has obtained the following summation of information from FINRA’s website under “Disciplinary and Other FINRA Actions, December, 2013.”
Joann Jackson (CRD #2246952, Registered Representative, Coeur d’Alene, Idaho)
was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Joann Jackson consented to the described sanction and to the entry of findings that she failed to respond to FINRA requests for documents and information, and to appear for testimony. This request was regarding alleged misrepresentation to her firm about borrowing money from a client, the nature of funds transfers, and failure to respond to her firm requests for information regarding a client's complaint.
FINRA's findings stated that the firm’s Form U5 disclosed a customer dispute over allegations that Jackson misappropriated funds in the amount of $693,083.76. Also, according to FINRA's findings, Jackson’s counsel informed FINRA that she would not respond to FINRA’s requests for documents, information and testimony.
(FINRA Case #2013038527601)
Joann Jackson was previously registered with the following FINRA firm(s):
MOLONEY SECURITIES CO., INC. (CRD# 38535) - COUER D' ALENE, ID
07/2004 - 10/2013
A. G. EDWARDS & SONS, INC. (CRD# 4) - ST. LOUIS, MO
11/1997 - 07/2004
D.A. DAVIDSON & CO. (CRD# 199) - GREAT FALLS, MT
04/1994 - 11/1997
This ends the information from FINRA’s website.
Soreide Law Group represents clients nationwide in arbitrations before FINRA. For a free consultation on how to potentially recover your investment losses call: 888-760-6552.
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