Tag Archives: USA Financial Securities

FINRA Sanctions USA Securities Corp Stockbroker For Forgery

Brian Daniel Parker of Covington Louisiana a stockbroker formerly registered with USA Financial Securities Corporation has been fined $10,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Parker caused USA Financial Securities Corporation customer account documentation to be falsified […]

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USA Financial Broker Fined For Outside Business Activities

February 05, 2019  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Lorraine Annette Conaway (also known as Lorraine Annette Espinoza) of Tustin California a stockbroker formerly employed by USA Financial Securities Corporation has been fined $10,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to FINRA’s findings that Conaway engaged in undisclosed outside business activities and […]

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USA Financial Securities Accused Of Misrepresentation

July 12, 2018  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   0 Comments

Bradley Scott Ford of Evansville Indiana a stockbroker currently registered with USA Financial Securities Corporation is referenced in a customer initiated investment related written complaint on April 4, 2018 in which the customer alleged that Ford failed to accurately represent the terms and conditions of fixed indexed annuities resulting in customers incorrectly concluding that their […]

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USA Financial Broker Fined For Outside Business Activities

James Otis Conaway of Tustin California a stockbroker formerly employed by USA Financial Securities Corporation has been fined $10,000.00 and suspended for nine months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he engaged in unapproved outside business activities and failed to be forthcoming […]

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USA Financial Securities Customer Complaints

July 03, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Andrew Blair Howard, of Grand Rapids, Michigan, a registered representative currently registered with USA Financial Securities, has been named in a customer initiated investment related written complaint on April 21, 2017, in which the customer requested $16,037.78 in damages based upon allegations that Howard failed to abide by the terms and conditions of annuity withdrawals. […]

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