FINRA has permanently barred Emily M. Thompson (CRD# 4217116, Wauseon, OH) from acting as a broker or otherwise associating with firms that sell securities to the public.
According to information on FINRA’s website, without admitting or denying the findings, Thompson consented to the sanction and to the entry of findings that she allegedly refused to provide documents and information requested during the course of an investigation into the allegations that she engaged in unauthorized trading and misrepresentation.
For FINRA’s full findings see FINRA case # 20150459629-01.
According to FINRA Broker Check, Thompson was registered with Raymond James Financial Services in Wauseon, OH from 12/2012 – 02/2015 and with Edward Jones in Sunset Beach, NC from 10/2011 -10/2012. Thompson has one customer dispute listed on her Broker Check for allegations of misrepresentation and unauthorized trading.
Brokerage firms are required to properly supervise all advisors they employ and to ensure that those advisors are complying with applicable FINRA rules and regulations. If it can be demonstrated that Thompson’s former employer failed to properly supervise her, her employer may be held responsible for the losses in a FINRA arbitration claim.
If you suffered losses investing with Emily M. Thompson and would like a free consultation to discuss your litigation options, please call The White Law Group at 1-888-637-5510.
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee.