Investors in the United States: Key Trends and Insights from the National Financial Capability Study

Learn more about the FINRA Investor Education Foundation latest research, Investors in the United States: Results from the FINRA Foundation’s National Financial Capability Study, which offers insights into the attitudes, behaviors, knowledge and experiences of retail investors in the U.S.

2022076380901 Justin A. Parker CRD 4671557 AWC vrp.pdf

On November 2, 2021, while associated with Ameriprise, Parker instructed a trader to effect 310 unauthorized transactions in the non-discretionary accounts of 277 customers by tendering the customers’ shares in Company A, a non-traded real estate investment trust, to participate in the company’s modified “Dutch Auction” self-tender offer. Parker did not receive any commissions for these transactions. By this conduct, Parker violated FINRA Rule 2010 and is suspended for 30 days and fined $2,500...
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