Last Updated: April 2024 (Houston, TX)
Ann Deaton Investigation Summary
Here’s what you need to know about Houston, TX, stockbroker Ann Deaton:
- Name: Ann Estelle Deaton
- Current Employer: Not currently registered with FINRA
- Previous Firms: USCA Securities, UBS Financial Services, PFPC Distributors
- Function: Stock Broker/ Financial Advisor
- Aliases: Ann Deaton
- Primary Location: Houston, TX
- CRD 1456459
- Can Ann Deaton be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Discharged by a prior employer: Yes
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Ann Deaton As Your Stockbroker?
Deaton was registered with USCA Securities from 12/2010 until 2/2022 when she was discharged. USCA Securities makes the following allegation on her FINRA record: “Employee provided false responses to firm management investigating the location of and the reason why she printed 90 confidential client reports and took at least 55 of them from the office. The firm’s investigation established that employee misused confidential client and firm information in preparation to join or try to join another firm.”
[LEARN MORE]: Firms Have a Duty to Supervise their Financial Advisors (FINRA Rules 3110 & 2090)
Brokers and their firms have a duty to comply with the FINRA suitability rule which requires that they have a reasonable basis to believe that a recommendation is suitable for the customer.
[LEARN MORE]: FINRA Rule 2111- suitability
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
[LEARN MORE]:
Investigation of USCA Securities and USCA Securities Brokers
Investigations of Other Truist Investment Services brokers
If you have suffered investment losses in an account handled by Stuart Huckin, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
