Dia Howell, Formerly with U.S. Bancorp Investments, Barred
COEUR D’ ALENE, ID
Are you a former client of advisor Dia Howell, formerly with U.S. Bancorp Investments in Coeur D’Alene, Idaho? The Oregon Division of Financial Regulation bought a regulatory action against Dia Howell. Back in 2020, Howell was under an investigation by FINRA, which she did not respond to. That caused her to be barred from the securities brokerage industry.
In 2022, Howell was then barred by Oregon regarding her failure to cooperate with Oregon’s own investigation. Howell was also ordered to pay a $3,000 fine. Both regulatory agencies did not specify why they brought their respective investigations but was likely started after she was fired by U.S. Bancorp Investments in 2020 for violations of “internal firm policies” by Howell.
Dia Howell had been licensed with U.S. Bancorp Investments from 2002 to March 2020. She had been assigned to a Coeur D’Alene, Idaho branch.
As a licensed financial advisor, Dia Howell had obligations to respond to regulatory investigations by FINRA and Oregon. A failure to do so led to her expulsion from the securities industry. Moreover, U.S. Bancorp Investments must sufficiently supervise her investment activities.
Our securities arbitration law firm has represented over one thousand investors who lost money because of financial advisor misconduct. Although we have offices in Denver, Seattle, and Phoenix, we represent investors throughout the country, including investors in Idaho.
View Howell, d BrokerCheck 10.27.22
If you lost money with Dia Howell or U.S. Bancorp Investments, please Contact Us at 206-795-5798 or 720-599-3505 for a free evaluation of your case.