Category Archives: Jennifer Trowbridge

Churning, Discretionary Trading, Elder Financial Abuse, Essex Securities LLC, Failure to Supervise, FInancial Exploitation of the Elderly, FINRA, Investor's Capital Corp., Jennifer Trowbridge, Mutual Fund Switching, Mutual Funds, Questar Capital Corporation, Stockbroker Malpractice, StockBroker Misconduct, Unauthorized Trading, Unsuitable Investments

Investigation of Broker Jennifer Trowbridge-Essex Securities, Boynton Beach, FL

January 30, 2015 Rex Securities Law

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

FINRA Case # 2011025433902

Prior blog post re: :Jennifer Trowbridge.

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.

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Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900

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Annuities, Churning, Elder Financial Abuse, Essex Securities LLC, Failure to Supervise, FInancial Exploitation of the Elderly, Jennifer Trowbridge, Stockbroker Malpractice, Unsuitable Investments

Arbitration Filed vs. Essex Securities LLC & Jennifer Trowbridge Over Annuities

July 9, 2014 Rex Securities Law

UPDATE January 30, 2015- Jennifer Trowbridge sanctioned by FINRA for mutual fund switching and discretionary trading. See this for details.

July 9, 2014-Boynton Beach, FL

Rex Securities Law filed an arbitration claim with the Financial Industry Regulatory Authority (FINRA Case #14-02139) against Essex Securities LLC and former Essex Securities broker Jennifer Trowbridge on behalf of an 80 year old widow from Boynton Beach, FL, seeking damages in excess of $200,000.

In the Statement of Claim filed with FINRA, our client alleges that Essex Securities and Trowbridge , recommended annuities and other investments that were unsuitable given the age of our client and the failing health of her husband. It further alleges that too large a percentage of their liquid net worth was invested in annuities at the recommendation of Trowbridge and Essex and that Essex failed in its duty to supervise its broker/agent Trowbridge. Our client and her husband had been married for 59 years.

Our client’s husband had been receiving treatment for bone cancer and dementia for more than a year prior to his death , and he passed away at age 81 only months after the questioned annuities were sold to them.

Trowbridge was registered with Essex Securities from January 2010 to September 2012 and operated an office for Essex in Boynton Beach, FL. She was registered with Questar Capital from 9/2012-11/2014.