Jennifer Ayers Barred By FINRA
Jennifer Ayers (CRD #: 6599784), a formerly registered broker with Allstate Financial Services, has been barred by FINRA, according to her BrokerCheck record, accessed on November 8, 2021.
According to an Acceptance, Waiver, and Consent agreement dated October 8, 2021, Jennifer Ayers consented to the findings that she allegedly refused to provide on-the-record testimony requested by FINRA in connection with an investigation that alleged she involved an unregistered person in activities that require registration.
By refusing to produce all the information and documents requested in accordance with FINRA Rule 8210, Jennifer Ayers also violated FINRA Rule 2010.
A violation of FINRA Rule 8210 is also a violation of FINRA Rule 2010, which requires member firms and their associated persons to “observe high standards of commercial honor and just and equitable principles of trade.”
You can read a copy of the AWC here.
As part of the terms of the AWC, Jennifer Ayers consented to a bar from associating with any FINRA member in all capacities.
Employment Termination Details
On March 2, 2020, Jennifer Ayers was discharged from her position at Allstate Financial Services following allegations that she involved an unregistered person in activities that require registration.
Jennifer Ayers has passed the following exams:
- Series 63 - Uniform Securities Agent State Law Examination
- SIE - Securities Industry Essentials Examination
- Series 6 - Investment Company Products/Variable Contracts Representative Examination
Jennifer Ayers has worked with the following firm:
- Allstate Financial Services (CRD#:18272)
Kurta Law Can Help
If you have suffered losses after working with Jennifer Ayers, don't hesitate to contact us today at 877-600-0098 or firstname.lastname@example.org for a free consultation.
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