Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jessica Pinkard (Pinkard), previously associated with First Citizens Investor Services, Inc., has at least one disclosable event. These events include one tax lien, alleging that Pinkard recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on September 23, 2024.
Without admitting or denying the findings, Pinkard consented to the sanction and to the entry of findings that she refused to provide documents and information and to appear for on-the-record testimony requested by FINRA in connection with its investigation into the circumstances surrounding a Form U5 filed by her member firm. The findings stated that the Form U5 stated that the firm had discharged Pinkard for violating the policies of its banking affiliate by falsifying a customer’s signature on a wire agreement and facilitating cash exchanges.
