Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ashlee Godfrey (Godfrey), previously associated with Benjamin F. Edwards & Company, Inc., has at least one disclosable event. These events include one tax lien, alleging that Godfrey recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on September 09, 2024.
Without admitting or denying the findings, Godfrey consented to the sanction and to the entry of findings that she refused to provide on-the-record testimony requested by FINRA in connection with its investigation into misstatements she made to a customer of her member firm using an unapproved communication platform. The findings stated that Godfrey misrepresented to the customer that certain preferred securities were insured.
