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).
FINRA Public Disclosure reveals that on June 29, 2016, Daniels was terminated from U.S. Bancorp Investments, Inc. based upon allegations that she misappropriated customer funds. Additionally, on December 5, 2016, the State of Missouri sought sanctions against Daniels including civil fines, censure, and a bar from securities registration based on allegations that Daniels, while employed with U.S. Bancorp Investments, Inc., embezzled funds. The State of Missouri alleged that Daniels committed unethical and dishonest practices regarding theft of customer funds, and alleged that her continuous theft amounted to fraud and willful violations of Missouri Securities Act of 2003. Case No. AP-16-42 (Dec. 5, 2016).
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