Clay Gavin Erickson of Salt Lake City Utah a stockbroker formerly employed by Hornor Townsend Kent Inc. has been fined $7,500.00 and suspended for nine months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Erickson effected transactions in Hornor Townsend customers’ accounts without any permission from […]
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Tag Archives: Clay Gavin Erickson
Hornor Stockbroker Sanctioned For $5.3 Million In Unauthorized Trading
October 14, 2019 | Posted by : Guiliano Law Group | Investment and Regulatory News, Unauthorized Trading | 0 Comments
Investor Blames Hornor Townsend For Unauthorized Trading
September 12, 2018 | Posted by : Guiliano Law Group | Investment and Regulatory News, Unauthorized Trading, Variable Annuites | 0 Comments
Clay Gavin Erickson of Salt Lake City Utah a stockbroker formerly employed by Hornor Townsend Kent Inc. is referenced in a customer initiated investment related written complaint which settled for $13,006.40 on March 12, 2018 based upon allegations that the customer’s assets were allocated in sub-accounts of a variable annuity without the customer’s knowledge. Financial […]
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