January 12, 2015- Boynton Beach, Florida
Jennifer J. Trowbridge entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she made unsuitable sales and purchases in customer accounts and that she effected discretionary trades in a customer account.
According to the AWC, Trowbridge’s violative conduct includes:
- Recommending mutual fund switches without having reasonable grounds for believing such transactions were suitable for the customer
- Effecting discretionary trades, with the customer’s verbal consent, but without obtaining written consent
Trowbridge was suspended by FINRA for two months and fined $10,000.
According to FINRA records, Trowbridge is not currently registered. She was previously registered as follows:
- Questar Capital 9/2012-11/2014
- Essex Securities 1/2010-9/2012
- Investors Capital 8/2005-12/2009
If you had an account with Jennifer Trowbridge that suffered losses due to unsuitable mutual fund switching, discretionary trading (trading without your permission) or for other reasons, you may be able to recover damages from the brokerage firm employing Trowbridge. Call to speak with an experienced securities attorney.
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.
Florida-561 391 1900