FINRA Bars Lisa Stevenson

Soreide Law Group is investigating possible investor claims against Lisa Stevenson (also known as Lisa Gastaldo) (CRD: 6191058, New Albany, Ohio). Evidently, FINRA sanctioned the securities broker, who worked for The Huntington Investment Company. Allegedly, Stevenson failed to provide information and documents to FINRA when it investigated possible FINRA rule violations. Here is a brief summary of FINRA’s allegations against Stevenson. However, bear in mind that Stevenson denies all allegations against her.

Stevenson Sanctioned By FINRA For Failure To Provide Information

Particularly, on February 2, 2021, FINRA issued Case: 2020068942001 sanctioning Lisa Stevenson for infractions. Specifically, Stevenson was barred as a securities broker, which means she is not permitted by FINRA to work with any FINRA-member firms as a securities broker or in other capacities. Namely, FINRA alleged that Stevenson failed to provide information and documents to FINRA when it investigated possible FINRA rule violations. Supposedly, FINRA’s investigation stems from her termination from The Huntington Investment Company.

The Huntington Investment Company Disaffiliates With Lisa Stevenson For Violation Of Policy

Also, on December 10, 2020, The Huntington Investment Company disaffiliated with Stevenson. Evidently, The Huntington Investment Company alleged that Stevenson violated company policy by accepting a $100,000 gift from a client. Supposedly, the securities broker admitted to her actions.

Stevenson Employment Information

Stevenson worked for The Huntington Investment Company in New Albany, OH, as a securities broker from March 2016 to December 2020. She has not been affiliated with other securities broker dealers.

Damages Resulting From The Huntington Investment Company Securities Broker Lisa Stevenson?

Incurred damages because of Lisa Stevenson? If so, feel free to call Soreide Law Group at (888) 760-6552 and talk with a securities lawyer about potentially recovering your investment losses. Soreide Law Group, who has successfully recovered money for hundreds of investors throughout the United States, represents investors like you on a contingency fee basis and advances all costs. Stevenson and brokerage firms Stevenson worked for deny any and all allegations of sales practice violations.