Israels & Neuman, PLC Investigates Vonna Kay Husby, Formerly of Raymond James
Have you lost money with financial advisor Vonna Kay Husby, formerly of Raymond James in Fairbanks, Alaska? We are continuing to look into allegations made against Vonna Husby. Vonna Husby tried to get records expunged from her CRD report. In particular, she tried to get her terminations from Raymond James and Ameriprise expunged from her records. A FINRA arbitrator denied her request.
Vonna Husby was a registered representative of Raymond James from 2003 to June 2019. She was also licensed with Ameriprise from about a month in June 2019. She has worked at branch offices in Fairbanks, Alaska. Husby was barred by FINRA in October 2020.
Brokerage firms like Raymond James 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 investors in Alaska. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Raymond James and Ameriprise.