Nilda Lee Vasey (CRD #4842504, Dorchester, Massachusetts
was barred by FINRA for allegedly converting client funds for her own personal use and benefit.
FINRA's findings stated that Vasey gained access to the clients funds by requesting, and against her member firm’s policy, that her clients make their annual firm financial planning fee checks, or wire transfers, payable to Vasey rather than her member firm.
(FINRA Case #2014041051801)
According to FINRA's BrokerCheck, Nilda Lee Vasey was formerly employed by the following firms:
12/2013 - 01/2015 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD# 3978) - WALTHAM, MA
01/2005 - 10/2013 AMERIPRISE FINANCIAL SERVICES, INC. (CRD# 6363) - QUINCY, MA
The information obtained from FINRA’s website "Disciplinary and Other FINRA Actions, March 2015," ends here.
If you experienced a financial loss due to your broker or financial advisor's recommendations, call Soreide Law Group for a free consultation with an attorney at: 888-760-6552.
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