Allison Shafer, formerly with Edward Jones, Barred by FINRA

MORGANTOWN, WEST VIRGINIA

Our investment fraud law firm is reviewing allegations made by FINRA, the Financial Industry Regulatory Authority, against Allison Shafer, who is from Morgantown, West Virginia.  Shafer was barred from the securities industry after she failed to respond to FINRA’s investigation.  FINRA began its inquiry into Allison Shafter after she was terminated by her former brokerage firm, Edward Jones, in August 2021.

Allison Shafer had been with Edward Jones from June 2017 to August 2021.  She worked at a branch office in Morgantown, West Virginia.

Shafer has a duty to follow FINRA rules while working with Edward Jones.  FINRA Rule 8210 required her to respond to FINRA investigations.  FINRA held that a violation of Rule 8210 is also a violation of Rule 2010.  Violations of these rules often result in suspensions or expulsions from the securities industry.

Israels & Neuman PLC is a securities arbitration law firm with offices primarily in Denver and Seattle.  However, we represent investors all over the country, including investors in West Virginia.

View Shafer, a FINRA AWC

If you lost money with Allison Shafer or Edward Jones, please Contact Us at 720-599-3505 or 206-795-5798 for a free evaluation of your case.