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Emily Thompson: Sanctioned by FINRA

Emily ThompsonPublic records published by the Financial Industry Regulatory Authority (FINRA) on December 7, 2016 indicate that former Ohio-based Raymond James & Associates broker Emily Thompson has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Thompson (CRD# 4217116).

Emily Thompson has spent three years in the securities industry and was most recently registered with Raymond James Financial Services in Wauseon, Ohio (2012-2015). Previous registrations include Edward Jones in Sunset Beach, North Carolina (2011-2012). She is currently not registered with any state or firm.

According to her BrokerCheck report, Emily Thompson has received one customer complaint and one FINRA sanction.

In November 2016 FINRA sanctioned Emily Thompson following allegations she “refused to provide documents and information requested by FINRA during the course of an investigation into allegations that she engaged in unauthorized trading and misrepresentation.” She was permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public.

In April 2015 a customer alleged Emily Thompson, while employed at Raymond James Financial Services, purchased a Cal Dive bond without authorization and misrepresented long-term brokered certificates of deposit as one-year, FDIC insured products. The complaint settled for more than $63,000.

If you have lost money investing with Emily Thompson, you may be entitled to recover lost funds. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on contingency: Fitapelli Kurta only gets paid if and when you recover money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.