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USCA Securities Fires Ann Deaton 

Apr 12, 2022 Fired Brokers

Ann Deaton (CRD #:1456459), a formerly registered broker, was recently fired by USCA Securities, according to her BrokerCheck record, accessed on April 5, 2022. 

Termination Details

On February 4, 2022, USCA Securities fired Ann Deaton after she allegedly misused confidential client and firm information in preparation to join or try to join another firm. 

The allegations stem from the firm’s investigation into the reason why Ann Deaton printed 90 confidential client reports and took at least 55 of them from the office.

Unauthorized Use of Customer Information

Under the SEC's Regulation S-P, firms are mandated to enforce policies and procedures addressing customer information and records protection. This includes maintaining the integrity of customer records and restricting access to customer records or information.

Background Information

Ann Deaton has passed the following exams:

  • Series 66 - Uniform Combined State Law Examination
  • Series 65 - Uniform Investment Adviser Law Examination
  • Series 63 - Uniform Securities Agent State Law Examination
  • SIE - Securities Industry Essentials Examination
  • Series 7 - General Securities Representative Examination
  • Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

Besides USCA Securities, Ann Deaton has also worked with the following firms:

  • UBS Financial Services (CRD#:8174)
  • PFPC Distributors  (CRD#:31334)
  • Redstone Consulting (CRD#:46604)
  • PaineWebber Incorporated (CRD#:8174)
  • Smith Barney, Harris Upham & Co., Incorporated (CRD#:7059)

Kurta Law Can Help

If you have been victimized after working with Ann Deaton, don't hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.

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