Published On: July 7, 2015

The Financial Industry Regulatory Authority (FINRA) barred former broker John Joseph Vaughan from the industry. In a disciplinary hearing against him, Vaughan was accused of failing to review the reasonableness of mark ups and mark downs charged on corporate bond transactions while he was employed at HFP Capital Markets. Vaughan also failed to appear for his on-the-record testimony before FINRA, therefore failing to provide sworn testimony related to the violations. HFP was accused of failing to adequately supervise its registered brokers. Because of this, HFP can be sued in the FINRA arbitration process, if you invested money with John Joseph Vaughan. Please call our Chicago-based securities law firm at 312-332-4200 to speak to an attorney. We can help you recover your financial losses.

Vaughan was registered with the following firms since 1986: Anchor National Financial Services, Inc., Vaughan and Company Securities, Inc., West America Securities Corp, Glenn Michael Financial Inc., Joseph Gunnar & Co., First Republic Group, The Concord Equity Group, ICICI Securities Inc., Charles Morgan Securities, and HFP Capital Markets in New York, New York until April 2013. He is not licensed within the industry.

Disclaimer

The posting on this site are mere OPINIONS and NOT statements of fact in any way whatsoever. The information should not be relied upon and there have been no findings made against the firms or individuals referenced on this site. In addition, this Blog is made available for educational purposes only and incorporates information from the web as well as to give you general information and a general understanding of the law, not to provide specific legal advice. By using this blog site you understand that there is no attorney client relationship between you and Stoltmann Law Offices (161 N Clark Street 16th Floor Chicago, IL 60601). The Blog opinions should not be used as a substitute for competent legal advice from a licensed professional attorney in your state.

PLEASE NOTE THIS IS ADVERTISING AND IT IS NOT A NEWSPAPER ARTICLE OR POST FROM AN INDEPENDENT OR NON-BIASED, NEWS SITE, NEWS SOURCE OR NEWSPAPER.

Chicago Investment Fraud Attorneys Offering Nationwide Representation to Investors

If you have suffered financial losses because of the negligence or fraud of your financial advisor or broker through unsuitable investment recommendations, over-concentration, churning, misrepresenting risks, conversion or selling away, you have legal rights and options to pursue recovery of those losses.

Stoltman Law Securities and Investment Fraud Attorneys