Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 19, 2018 indicate that former California-based Accelerate Capital Group broker/adviser Janet Ross has been sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Ross (CRD# 4381729).
Janet Ross has spent 12 years in the securities industry and was most recently registered with Accelerated Capital Group in Irvine, California (2012-2017). Previous registrations include Newport Coast Securities in New York, New York (2011-2012); Green Street Advisors in Newport Beach, California (2006; 2008-2010); and Brookstreet Securities in Irvine, California (2001-2006). She has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which she obtained on October 2, 2003; Series 7 (General Securities Representative Examination), which she obtained on June 12, 2001; Series 53 (Municipal Securities Principal Examination), which she obtained on May 18, 2005; and Series 24 (General Securities Principal Examination), which she obtained on September 11, 2001. She is currently not registered with any state or firm.
According to her BrokerCheck report, she has received three customer complaints and one FINRA sanction, and was recently discharged from her former employer.
In December 2017 FINRA sanctioned her following allegations, among others, that while serving as the direct supervisor for all representatives at a branch office of her member firm, she failed to reasonably supervise former representatives who made excessive, unsuitable, and unauthorized transactions, who made unauthorized mutual fund exchanges, and who improperly used pre-signed and altered customer forms. She was issued a two-year suspension from acting in any principal capacity and a fine of $10,000, and was ordered to pay $21,836 in disgorgement.
In February 2017 she was terminated from her position at Accelerated Capital Group following allegations she failed to follow firm policies and procedures concerning her position as CCO.
In 2016 a customer alleged Janet Ross, while employed at Accelerated Capital Group, breached her fiduciary duty and was negligent in her supervisory duties. The complaint settled in May 2017 for $110,000.
In 2016 a party of customers alleged Janet Ross, while employed at Accelerated Capital Group, acted negligently, breached her fiduciary duty, made excessive trades, violated securities laws, breached contract, and failed in her supervisory duties. The complaint, in which she was named as the firm’s compliance officer and from which she was dismissed with prejudice, settled in September 2017 for $190,000.
In 2016 a party of customers alleged Janet Ross, while employed at Accelerated Capital Group, executed unauthorized and excessive trades. The complaint, in which she was named as the firm’s compliance officer, settled for $165,000.
If you have lost money investing with Janet Ross, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 without delay. You may be entitled to recoup your losses. We accept all cases on contingency: Fitapelli Kurta only gets paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.