February 2018-Albuquerque, New Mexico
The FINRA records of Danielle Jean McAniff, a broker currently employed by NEXT Financial Group, disclose that she was recently suspended for two months and fined $5,000 by securities regulators.
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.
In FINRA Letter of Acceptance Waiver and Consent 2016051104501, FINRA found that from June 2013 to June 2016, while employed by Edward Jones, McAniff engaged in a practice , and permitted her office administrator, to have customers sign blank and incomplete forms or use photocopied customer signatures.
This conduct violated various FINRA rules, including FINRA Rule 2010 which requires brokers to “observe high standards of commercial honor and just and equitable principles of trade”.
McAniff was ‘permitted to resign’ from Edward Jones in 7/2016. She joined NEXT Financial Group in 9/2016.
If you have questions about an account handled by Danielle J. McAniff, contact us to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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