Cathie Joughin, Formerly with Ameriprise Financial Services, Barred by FINRA
BAKERSFIELD, CALIFORNIA
Have you lost money with financial advisor Cathie Joughin, formerly with Ameriprise Financial Services in Bakersfield, California? Our securities arbitration law firm is looking into a regulatory action filed by FINRA against Cathie Joughin. In November 2022, Cathie Joughin was barred from the securities brokerage industry after she failed to respond to a FINRA investigation.
According to FINRA’s AWC, FINRA began investigating Joughin after she was allowed to resign while under investigation from her former firm, Ameriprise Financial Services. Ameriprise had allowed her to resign following allegations that she was “under review for compliance policy violations related to a “fiduciary relationship”.
Cathie Joughin was with Ameriprise Financial Services from November 2019 to January 2022. She was previously licensed with a number of other firms, including Wells Fargo and Wedbush Securities. Joughin worked in Bakersfield, California offices.
Pursuant to FINRA Rules, Joughin was required to respond to FINRA investigations. Moreover, firms like Ameriprise Financial Services must reasonably supervise her conduct.
Israels & Neuman is an investment fraud law firm that 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 California.
View Joughin, c FINRA AWC
View Joughin, c BrokerCheck 11.29.22