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FINRA Suspends Pam Owensby

Pam Owensby (CRD #: 2078784), a broker formerly registered with UBS Financial Services, has been suspended by FINRA, according to her BrokerCheck record, accessed on November 30, 2022. Keep reading if you want to know more about her conduct as a broker.

FINRA Suspension

On October 4, 2022, Pam Owensby was served a Letter of Suspension after allegedly failing to respond to FINRA requests for information.

Her suspension began on October 28, 2022, and will continue indefinitely until FINRA receives the requested information or the suspension converts to a bar.

FINRA Rule 9552

FINRA Rule 9552 states that members who fail to provide information, documents, or testimony requested by FINRA will be suspended. Members who do not request an end to their suspension within three months become permanently barred.

Background Information

Pam Owensby has passed the following exams:

  • 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

She has previously worked for UBS Financial Services (CRD#:8174) and Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691).

Kurta Law Can Help

If you worked with Pam Owensby and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want 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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