Barbara Ann Endres, of Grand Junction, Colorado, a stockbroker formerly registered with Wells Fargo Advisors, LLC and investment advisor representative with Lifetime Wealth Advisors, LLC, is the subject of an Order issued by Commonwealth of Massachusetts Securities Division suspending Endres’ investment advisor representative registration in the Commonwealth of Massachusetts based upon allegations of her improper conduct referenced by the Colorado Division of Securities. Case No. 2017-0095 (Oct. 20, 2017). The Commonwealth of Massachusetts has sought sanctions against Endres including revocation, bar, cease and desist, and civil and administrative fines.
Evidently, on October 17, 2017, Lifetime Wealth Advisors, LLC and Endres entered into a Colorado Division of Securities Consent Order revoking Endres’ investment advisor registration, barring Endres from associating with an investment adviser or broker-dealer, and prohibiting her from advising customers with regard to securities or managing securities accounts based on findings that Endres engaged in fraudulent activities, made misleading or false statements to customers, effected trades in customer accounts without authorization, kept fees that should have been reimbursed to customers, and recommended unsuitable investments to customers. Case No. 2017 CDS 055 (Oct. 13, 2017).
FINRA Public Disclosure reveals that since June 26, 1987, Endres has been associated with eight different broker dealers, one of which has been expelled by securities regulators for violation of federal securities laws or is otherwise defunct.
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