Vonna Kay Husby, Formerly of Raymond James Financial Services, Barred by FINRA Over Failure to Cooperate with Investigation

FINRA was investigating allegations that Husby served as a power of attorney and co-owned a bank account with an elderly customer.

The Sonn Law Group is investigating allegations that Vonna Kay Husby committed misconduct. If you or a family member has suffered losses investing, we want to discuss your case. Please contact us today for a free review of your case.

Vonna Kay Husby (CRD#: 1314070) was registered as a broker with Raymond James Financial Services from 2003 until 2019. Previously, Husby was registered as a broker with Morgan Stanley from 1985 until 2003.

Husby has four disclosures on his BrokerCheck report.

October 2020 Regulatory Judgment

• Status: Final
• Initiated By: FINRA
• Allegations: Without admitting or denying the findings, Husby consented to the sanction and the to the entry of findings that she refused to produce information and documents requested by FINRA in connection with its investigation into whether she served as a power of attorney and opened  an undisclosed bank account that she allegedly co-owned with one of her elderly customers. The findings stated that although Husby initially cooperated with FINRA’s investigation, she ceased doing so. 
• Resolution: Acceptance, Waiver & Consent (AWC)
• Sanctions: Bar
• Registration Capacities Affected: All Capacities
• Duration: Indefinite
• Start Date: 10/29/2020

June 2019 Employment Separation After Allegations

• Firm Name: Ameriprise Financial Services, Inc.
• Termination Type: Discharged
• Allegations: Plaintiff alleges that Mr. Hain made material misrepresentations concerning an investment in a private placement.

May 2019 Employment Separation After Allegations

• Firm Name: Raymond James Financial Services, Inc.
• Termination Type: Discharged
• Allegations: Financial Advisor was co-owner on a bank account with a customer without providing disclosure to or receiving approval from the firm.
• Broker Comment: Rep disagrees with allegation language from the former firm..

May 2019 Employment Separation After Allegations

• Firm Name: Raymond James Financial Services, Inc.
• Termination Type: Discharged
• Allegations: Financial Advisor was co-owner on a bank account with a customer without providing disclosure to or receiving approval from the firm.

Contact Us Today

The Sonn Law Group is currently investigating allegations that Joseph Hain misrepresented investments. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.