Tag Archives: U.S. Bancorp Investments Inc.

Investors Accuse U.S. Bancorp Of Failure to Conduct Due Diligence

May 12, 2020  |   Posted by :   |   Failure to Conduct Due Diligence   |   Comments Off on Investors Accuse U.S. Bancorp Of Failure to Conduct Due Diligence

Jeff Anton Nizich a stockbroker associated with U.S. Bancorp Investments has been referenced in a customer initiated investment related complaint on September 12, 2019 in which the customer requested damages estimated to exceed $5,000.00 based upon allegations that due diligence was not adequately performed prior to mutual fund transactions being effected by the stockbroker during […]

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Investors Accuse U.S. Bancorp Stockbroker Of Misappropriation

John Douglas Wade of Fullerton California a stockbroker employed by U.S. Bancorp Investments Inc. is the subject of a customer initiated investment related written complaint which was resolved for $58,566.91 on June 19, 2018 founded on allegations that the customer’s funds had been improperly removed from a money market account and relocated to a mortgage […]

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US Bancorp Stockbroker Investigated For Misconduct

August 25, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Nicholas Brent Maddox of Laguna Niguel California a stockbroker formerly employed by U.S. Bancorp Investments Inc. is subject of a pending regulatory action initiated by Financial Industry Regulatory Authority (FINRA) concerning allegations of Maddox violating FINRA Rule 8210. Case No. 20170566779 (June 22, 2018). FINRA Public Disclosure confirms that Maddox was subsequently employed by TCFG […]

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FINRA Bars US Bancorp Stockbroker For Stealing

John Douglas Wade of Fullerton California a stockbroker formerly registered with U.S. Bancorp Investments Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he converted a U.S. Bancorp customers’ funds. Letter of Acceptance Waiver and Consent No. 2018058354101 (June 4, 2018). […]

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US Bank Broker Charged With Outside Business Activities

James Randall Clay of Clarksville Tennessee is a stockbroker formerly registered with U.S. Bancorp Investments Inc.James Randall Clay who has been charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that he engaged in unapproved outside business activities and falsified statements to his firm and FINRA personnel in regard to his business activities. […]

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US Bancorp Stockbroker Suspended By Regulator

April 11, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Sherman Marcel White, of Park Forest, Illinois, a stockbroker formerly registered with U.S. Bancorp Investments, Inc., has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that White did not provide a response to FINRA personnel’s information request as required. Letter No. 2016051595401 (Feb. 27, 2017). […]

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US Bancorp Investments Stockbroker Barred

Shannon Kathleen Daniels, of Bloomfield, Missouri, a stockbroker formerly registered with U.S. Bancorp Investments, Inc., has been has permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she did not provide a response to FINRA’s information request. Letter No. 2016050764201 (Nov. 18, 2016). […]

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Broker Dealers Censured For Failure To Provide Customers Discounts

Multiple Financial Industry Regulatory Authority (FINRA) member broker dealers, including Robert W. Baird & Co, Inc., BB&T Securities, LLC., U.S. Bancorp Investments, Inc., Fifth Third Securities, Inc., and PNC Investments LLC, were recently censured and ordered to pay restitution to customers after consenting to findings that the firms’ overcharged customers in mutual funds purchases, and […]

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