Pamela Shuttleworth, formerly with Comprehensive Asset Management and Servicing, Barred from Securities Industry

We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Pamela Shuttleworth. FINRA barred Shuttleworth from the securities industry after she failed to respond to a FINRA investigation.  FINRA was investigating Shuttleworth regarding allegations that she was the supervisor responsible for monitoring the emails of a former representative of her brokerage firm, Comprehensive Asset Management and Servicing.

The former representative was the subject of a complaint from May 2017.  After FINRA contacted Shuttleworth regarding this investigation, she refused FINRA’s request to testify.

Pamela Shuttleworth was a registered representative of Comprehensive Asset Management and Servicing from December 2014 to June 2017.  She worked at a branch office in Parsippany, New Jersey.

Brokerage firms like Comprehensive Asset Management and Servicing have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; and Seattle, Washington.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout New Jersey.  Our attorneys have represented over one thousand investors against many brokerage firms in the past.

Click to view:  Shuttleworth, Pamela FINRA AWC

If you lost money with Pamela Shuttleworth or Comprehensive Asset Management and Servicing, please CONTACT US at 720-599-3505 for a free evaluation of your case.

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency.  Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency.  All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact.  This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice.  Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis.  In contingent representation, clients may still be liable for costs.