Broker Laya Gavin Has Been Named in a FINRA Investigation

Laya GavinPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on November 10, 2016 indicate that former Arizona-based JP Morgan Securities broker Laya Gavin is currently not affiliated with any broker-dealer firm. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Gavin (CRD# 4401694).

Laya Gavin has spent fourteen years in the securities industry and was most recently registered with JP Morgan Securities in Sun City West, Arizona (2012-2016). Previous registrations include Chase Investment Services in Phoenix, Arizona; New England Securities in Phoenix, Arizona; Woodbury Financial Services in Oakdale, Minnesota; Simmers Capital Management in Phoenix, Arizona; and PFS Investments in Duluth, Georgia. She is currently not registered with any state or firm, and is currently not licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients), though she may be able to provide other investment services.

According to her BrokerCheck report, Laya Gavin has been named in a FINRA investigation.

In September 2016 FINRA named Laya Gavin in an investigation into allegations involving “violations of FINRA Rule 2010 for creating misleading documents and making misleading statements to her member firm, and FINRA Rules 4511 and 2010 for causing her firm to have inaccurate books and records.” The investigation remains pending.

If you or someone you know has lost money investing with Laya Gavin, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect 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.

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