Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Howley (Howley), previously associated with Park Avenue Securities LLC, has at least 11 disclosable events. These events include 8 customer complaints, 3 regulatory events, alleging that Howley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on December 29, 2021.
HOWLEY SOLD UNREGISTERED SECURITIES. HOWLEY ACTED AS AN AGENT WITHOUT REGISTRATION. HOWLEY WILLFULLY FAILED TO COMPLY WITH PARK A VENUE’S POLICIES. HOWLEY IS THE SUBJECT OF AN ORDER OF A SELF-REGULATORY ORGANIZATION EXPELLING HIM FROM A SELF-REGULATORY ORGANIZATION.