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FINRA Suspends Victoria Honohan

Feb 10, 2023 FINRA Suspension

Victoria Honohan (CRD #: 1140889), a broker formerly registered with Ameriprise Financial Services, was recently suspended by FINRA, according to her BrokerCheck record, accessed on February 2, 2023. Read on to learn more about her alleged conduct as a broker.

FINRA Suspension

On October 18, 2022, Victoria Honohan received a Letter of Suspension from FINRA alleging a failure to respond to requests for information. Her suspension ran from November 14 to December 16, 2022.

FINRA Rule 9552

FINRA Rule 9552 states that members who fail to provide documents, information, or testimony requested by FINRA will be suspended. Members who fail to request an end to their suspension within three months become permanently barred.

Background Information

Victoria Honohan has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

She has also worked for the following firms:

  • Ameriprise Financial Services (CRD#:6363)
  • IDS Life Insurance Company (CRD#:6321)
  • Shelter Rock Securities Corporation (CRD#:11043)     
  • Universal Securities of America (CRD#:11529)
  • Creative Securities Corporation (CRD#:3509)

Kurta Law Can Help

If you worked with Victoria Honohan and you have concerns about your investments, please contact us today at 877-600-0098 or 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.