FINRA Bars St. Louis Advisor John Fagan from Securities Industry
According to public records, FINRA has reportedly barred financial advisor John Fagan (CRD#: 1267279) from the securities industry. The Financial Industry Regulatory Authority (FINRA) is the self-regulator that oversees brokers and brokerage firms.
On December 17, 2021, Raymond James reportedly filed a Uniform Termination Notice for Securities Industry Registration (Form U5) stating that Fagan voluntarily terminated his association with the firm.
According to a Letter of Acceptance Waiver and Consent on November 6, Fagan reportedly agreed to FINRA’s sanctions. Fagan reportedly refused to appear for on-the-record testimony requested by FINRA in connection with an investigation into the sale of certain fixed income securities by him.
FINRA BrokerCheck Report – John Fagan
According to this FINRA BrokerCheck report, John Fagan was affiliated with the following firms during his career, among others:
B, 11/11/2011 – 12/31/2021, RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705), ST LOUIS, MO
B, 01/01/2008 – 11/15/2011, WELLS FARGO ADVISORS, LLC (CRD#:19616), FRONTENAC, MO
The FINRA BrokerCheck tool is a free online tool that allows investors to research and verify the background and credentials of financial brokers, brokerage firms, and investment advisors registered with FINRA.
FINRA BrokerCheck provides investors with detailed information about the professional history, qualifications, and regulatory actions of brokers and brokerage firms. Investors can use the tool to verify whether a broker or brokerage firm is registered with FINRA, as well as to review their employment history, licensing status, and any regulatory actions or complaints filed against them.
If you have suffered losses investing with John Fagan and Raymond James, the securities attorneys at the White Law Group may be able to help you. For a free consultation with a securities attorney, please call (888) 637-5510.
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. Since the firm launched in 2010, it has handled over 700 FINRA arbitration cases.
Our firm represents investors in all types of securities related claims, including claims involving stock fraud, broker misrepresentation, churning, unsuitable investments, selling away, and unauthorized trading, among many others.
With over 30 years of securities law experience, The White Law Group has the expertise to help investors to recover their fraud losses. For more information, please visit our website, www.whitesecuritieslaw.com.
Tags: broker investigation, John Fagan, Raymond James Last modified: November 15, 2023
