Vonna Kay Husby of Fairbanks Arkansas a stockbroker formerly employed by Raymond James Financial Services has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that she failed to cooperate with FINRA during the time that she was under investigation for allegedly taking advantage of an elderly customer. Letter of Acceptance Waiver and Consent No. 2019062808901 (Oct. 29, 2020).
According to the AWC, FINRA investigated Husby to determine if she was listed as the agent of an elderly customer under a Power of Attorney. The regulator also sought to confirm whether Husby established a bank account with the elderly customer. On September 23, 2020, Husby was instructed to hand over documents and information relating to the regulator’s investigation.
Husby’s counsel informed FINRA personnel on October 12, 2020 that Husby would not be cooperating with the investigative request. Husby never provided FINRA with any documents or information that was requested from her. FINRA found that the stockbroker’s conduct was violative of FINRA Rules 2010 and 8210.
FINRA Public Disclosure confirms that Husby has been terminated for misconduct three times. On May 9, 2019, she was discharged from Raymond James Financial Services supported by accusations of her maintaining an investment account with a customer of the securities broker dealer without Husby ever notifying the firm or obtaining its permission. Husby was registered with Ameriprise Financial Services from May 30, 2019 to June 28, 2019. She was discharged for allegedly making inaccurate statements to Ameriprise upon registering with the securities broker dealer.
