Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Anderson (Anderson), previously associated with Pruco Securities, LLC., has at least 6 disclosable events. These events include 4 customer complaints, 2 regulatory events, alleging that Anderson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on January 27, 2022.
Section 8.E(1)(j) of the Illinois Securities Law of 1953 [815 ILCS 5] (“the Act”) provides, inter alia, that the registration of a salesperson May be denied, suspended or revoked if the Secretary of State finds that the salesperson has had membership or association with any self-regulatory organization registered under the Federal 1934 Act or the Federal 1974 Act suspended, revoked, refused, expelled, cancelled, barred, limited in any capacity, or otherwise adversely affected in a similar manner arising from any fraudulent or deceptive act or a practice in violation of any rule, regulation or standard duly promulgated by the self-regulatory organization