Vonna Husby, formerly with Raymond James Financial, Barred by FINRA
Have you lost money with financial advisor Vonna Husby? We are looking into allegations made about Vonna K. Husby from Fairbanks, Alaska. FINRA (the Financial Industry Regulatory Authority) barred Husby from the securities industry. FINRA alleged that Husby failed to respond to its investigation. Husby was being investigated for allegations that she served as Power of Attorney (POA) and opened an undisclosed bank account that she allegedly co-owned with one of her elderly customers.
Vonna Husby was a financial advisor and registered representative of Raymond James Financial from 2003 to May 2019. She worked in a branch office in Fairbanks, Alaska. Husby was also terminated by Raymond James Financial. She was also affiliated with Husby Legacy, Inc.
Brokerage firms like Raymond James Financial have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Seattle, Washington; Denver, Colorado; Ann Arbor, Michigan; and Phoenix, Arizona. We represent investors in FINRA arbitration proceedings in all 50 states, including throughout Alaska. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Raymond James Financial.