Janie Garza-Clark, formerly with Hornor, Townsend & Kent, Barred by FINRA

SCOTTSDALE, ARIZONA

Have you lost money with financial advisor Janie Garza-Clark of Scottsdale, Arizona?  The investment fraud law firm of Israels & Neuman is reviewing allegations made by FINRA, the Financial Industry Regulatory Authority, against Janie Garza-Clark.  FINRA recently barred Garza-Clark from the securities industry after she failed to respond to an investigation.  She was alleged to have received personal checks from a client as gifts but did not report such to her brokerage firm, TCFG Wealth Management.

Janie Garza-Clark was a financial advisor with Hornor, Townsend & Kent from 1993 to December 2015.  She worked at an office in Scottsdale, Arizona.  She was also “discharged” by Hornor, Townsend & Kent.  Then Garza-Clark worked with SagePoint Financial from October 2016 to July 2017, and then with TCFG Wealth Management from July 2017 to May 2020, when she was “permitted to resign” by TCFG for the allegations described above.  Hornor, Townsend & Kent is also facing a $950,000 customer complaint regarding Garza-Clark’s conduct.

Hornor, Townsend & Kent has an obligation to follow FINRA Rule 3110, which requires the firm to reasonably supervise the activities of its representatives like Janie Garza-Clark.  If the firm fails to sufficiently supervise the activities of its advisors, the firm may be liable for Garza-Clark’s conduct.

Israels & Neuman PLC is an investment fraud law firm that represents investors all over the U.S. in FINRA arbitration.  We have an office in Phoenix, and attorney Aaron Israels is licensed to practice law in Arizona.  We have also previously represented customers against Hornor, Townsend & Kent.

View BrokerCheck Report:  Garza-Clark, Janie FINRA AWC

View FINRA AWC:  Garza-Clark, Janie FINRA AWC

If you lost money with Janie Garza-Clark or Hornor, Townsend & Kent, please Contact Us at 206-795-5798 for a free evaluation of your case.