Janie Garza-Clark of Scottsdale Arizona a stockbroker formerly employed by Hornor Townsend Kent Inc. has been discharged by the firm on December 1, 2015 founded on allegations that Garza-Clark violated the firm’s polices.
Hornor Townsend Kent Inc. accused Garza-Clark of failing to conform to the firm’s policies concerning the handling of customer account applications; handling of sales literature; and use of signed but otherwise blank or incomplete forms to effect customer account transactions.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Garza-Clark is referenced in two customer initiated investment related disputes pertaining to accusations of Garza-Clark’s violative conduct during the time that he was associated with Hornor Townsend Kent Inc. Specifically, on March 17, 2010, a customer filed an investment related complaint concerning Garza-Clark’s conduct where the customer sought $10,469.00 in damages based upon allegations that Garza-Clark placed the customer in a variable annuity product despite the customer’s requests and expectations that a fixed annuity be purchased.
Then, on October 2, 2015, a customer initiated investment related complaint regarding Garza-Clark’s conduct was resolved for $290,549.00 in damages supported by accusations that Garza-Clark failed to inform the customer about the surrender charges that would be assessed for surrendering a variable annuity over a nine-year period.
Garza-Clark was subsequently registered with Sagepoint Financial, Inc. between October 13, 2016 and July 6, 2017. Since July 18, 2017, Garza-Clark has been associated with TCFG Wealth Management, LLC.
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