Tag Archives: Wayne Hummer Investments L.L.C.

Wayne Hummer Accused Of Misrepresentation

June 24, 2020  |   Posted by :   |   Structured Products   |   Comments Off on Wayne Hummer Accused Of Misrepresentation

Jeannette Ann Adcock of Indianapolis Indiana a stockbroker formerly registered with Wayne Hummer Investments is the subject of a customer initiated investment related written complaint which was settled on December 4, 2019 for $56,838.12 in damages based upon allegations that misrepresentations had been made by the stockbroker pertaining to structured certificates of deposit which were […]

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Wayne Hummer Accused Of Structured Note Fraud

August 28, 2019  |   Posted by :   |   Investment and Regulatory News, Structured Products   |   0 Comments

Jeannette Ann Adcock a stockbroker formerly registered with Wayne Hummer Investments is referenced in a customer initiated investment related written complaint on April 9, 2019 in which the customer sought $11,335.29 in damages founded on accusations that (1) unfounded statements had been made to the customer concerning the purchase of structured notes and structured certificate […]

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Wayne Hummer Stockbroker Fired

May 25, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Jeannette Ann Adcock, of Bloomingdale, Illinois, a stockbroker formerly registered with Wayne Hummer Investments L.L.C., was terminated from employment on April 19, 2017, based upon allegations that she violated the firm’s policy by failing to apprise the firm of a customer initiated investment related complaint. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that on […]

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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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