July 2016-Horsham, PA
The FINRA records of Jeffery A. Vaughn , a currently unlicensed stockbroker who was most recently employed by Hornor, Townsend & Kent , disclose a pending regulatory event, 2 prior regulatory events and a termination from employment.
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 July 2016, FINRA filed an amended complaint in proceeding #2013037097602 against Vaughn alleging that he failed to timely respond to FINRA requests for information, that he willfully caused the filing of false and misleading disclosure information and that he provided false information to his firm Hornor, Townsend & Kent by failing to report two unsatisfied Ohio state tax liens.
Jeffery A. Vaughn was employed by Hornor, Townsend & Kent from 5/2014-3/2016. In February 2016 Vaughn was discharged by Hornor Townsend & Kent who alleged: ” registered representative was terminated for failing to disclose a Consent Order he executed with the Ohio Insurance Department when he joined the firm.”
Prior to that he was employed by Commonwealth Financial Network from 11/2005-5/2013.
Investors who have questions about how their account has been handled should call to discuss your options.
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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