Tag Archives: Frederick David Holloway

FINRA Bars Stockbroker For Unsuitable Investment Advice

April 19, 2019  |   Posted by :   |   Forgery, Investment and Regulatory News, Variable Annuites   |   0 Comments

Frederick David Holloway of Easton Maryland a stockbroker formerly employed by Holloway Associates Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to an Amended Hearing Panel Decision containing findings that (1) Holloway made bad annuity recommendations to customers of the firm and (2) Holloway omitted […]

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Holloway President Charged With Annuity Fraud

April 08, 2018  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   0 Comments

Frederick David Holloway of Easton Maryland is the president and chief compliance officer of Holloway & Associates Inc. who has been charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that he made unsuitable investment recommendations to customers concerning variable annuities. Department of Enforcement v. Frederick David Holloway No. 2016050025401 (Apr. 2, 2018). […]

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