Public records published by the Financial Industry Regulatory Authority (FINRA) on February 22, 2017 indicate that New York-based Revere Securities broker Jollene Austin resigned from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Austin (CRD# 2997663).
Jollene Austin has spent eighteen years in the securities industry and has been registered with Revere Securities in New York, New York since October 2016. Previous registrations include Rothschild Lieberman in New York, New York; Newport Coast Securities in New York, New York; Securities America in Mills River, North Carolina; Commonwealth Financial Network in Mills River, North Carolina; LPL Financial in Mills River, North Carolina; Edward Jones in Mills River, North Carolina; UBS Painewebber in Weehawken, New Jersey; Salomon Smith Barney in New York, New York; Merrill Lynch in New York, New York; American Express Financial Advisors in Minneapolis, Minnesota; and IDS Life Insurance in Minneapolis, Minnesota. She has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 65 (Uniform Investment Adviser Law Examination). She is a registered broker with seven US states and territories: Colorado, Connecticut, Indiana, New York, North Carolina, Rhode Island, and South Carolina.
According to her BrokerCheck report, Jollene Austin has received one denied customer complaint and resigned from a former employer in connection to alleged misconduct.
In 2013 a customer alleged Jollene Austin, while employed at LPL Financial, recommended unsuitable mutual fund investments. The customer sought unspecified damages in the complaint, which was denied.
In 2013 Jollene Austin voluntarily resigned from her position at Commonwealth Financial Network following allegations she “obtained a promissory note from a client at her previous firm in the form of a seller financed mortgage and a second promissory note with the same client” but was “unable to provide documentation of the other firm’s approval of the same.”
If you or someone you know has a complaint regarding Jollene Austin, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get 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.