Jeannette Adcock, a broker and an investment advisor registered with Thurston Springer Financial, was fired for allegedly violating FINRA Rules, according to her BrokerCheck record, accessed August 26, 2020. This is not the only employment issue on her record.
On June 15, 2020, Jeannette Adcock was discharged from her position at Sanctuary Securities following allegations that she placed a trade for a client in a state in which she is not registered.
There are four settled customer disputes on Jeannette Adcock’s record that allege she misrepresented certificates of deposit. These were collectively resolved for approximately $88,734.80.
On January 9, 2017, a client alleged that Ms. Adcock recommended unsuitable investment products. The client sought $24,000 in damages; the dispute settled for $21,885,73.
On April 19, 2017, Jeannette Adcock was permitted to resign from her position at Wayne Hummer Investments following allegations she failed for forward a written customer complaint to her supervisor as required by firm policy.
On January 27, 1997, Jeannette Adcock was discharged from her position at Merrill Lynch, Pierce, Fenner & Smith Inc., following allegations that she entered orders for a roll-over investment prior to having had conversation with some customers.
Jeannette Adcock has passed the following exams: Series 65 Uniform Investment Adviser Law Examination, the Series 63 Uniform, Securities Agent State Law Examination, Securities Industry Essentials Examination, and the Series 7 General Securities Representative Examination.
She is a registered broker in California, Georgia, Illinois, Indiana, Maryland, Michigan, New York, Ohio, and South Carolina. She is also an investment advisor registered Illinois.
In her 33 years of experience, Jeannette Adcock has worked at the following firms:
- Sanctuary Advisors LLC (CRD #: 226696)
- Sanctuary Securities, Inc. (CRD #: 205)
- Wayne Hummer Investments LLC (CRD #: 875)
- Wayne Hummer Asset Management Company (CRD #: 110757)
- Wachovia Securities LLC (CRD #: 19616)
- Prudential Securities Incorporated (CRD #: 7471)
- Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #: 7691)
If Jeannette Adcock was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys at Fitapelli Kurta. Call (877) 238-4175 or email email@example.com for your free case consultation with a securities attorney.