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.
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