{"id":1525,"date":"2014-10-06T18:23:21","date_gmt":"2014-10-06T18:23:21","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2014\/10\/finra_bars_former_raymond_jame"},"modified":"2022-03-11T10:18:26","modified_gmt":"2022-03-11T16:18:26","slug":"finra-bars-former-raymond-jame","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/finra-bars-former-raymond-jame\/","title":{"rendered":"FINRA Bars Former Raymond James Advisor for Elder Financial Fraud, Charges SWS Over Variable Annuity Supervision"},"content":{"rendered":"

\t\t\t\tThe Financial Industry Regulatory Authority has barred Jo Ellen Fischer, an Raymond James independent financial advisor, for purportedly stealing nearly $1 million from a 95-year-old client. At the time, Fisher worked for Peoples Bancorp.<\/p>\n

According to the self-regulatory organization, from July to December 2013, the Raymond James advisor converted $924,750 from the elderly customer’s trust without permission. She did this by moving funds and securities into a brokerage account under her daughter’s name. Fisher then liquidated securities and used the money to cover her personal spending, including two Rolexes, motor vehicles, a 2-carat diamond ring, and other expenses.<\/p>\n

FINRA says that Fisher claimed that the elderly client was her daughter’s godfather and he wanted her to have the money when she was older. The SRO, however, contends that the Raymond James advisor falsified documents regarding this matter. She has agreed to the bar without denying or admitting to the findings alleging elder financial fraud<\/a>.<\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

The Financial Industry Regulatory Authority has barred Jo Ellen Fischer, an Raymond James independent financial advisor, for purportedly stealing nearly $1 million from a 95-year-old client. At the time, Fisher worked for Peoples Bancorp. According to the self-regulatory organization, from July to December 2013, the Raymond James advisor converted $924,750 from the elderly customer’s trust […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3752,3739,3758,3803,3884],"tags":[],"class_list":["post-1525","post","type-post","status-publish","format-standard","hentry","category-financial-firms","category-finra","category-raymond-james","category-senior-investors","category-variable-annuities"],"yoast_head":"\nFINRA Bars Former Raymond James Advisor for Elder Financial Fraud — Investor Lawyers Blog<\/title>\n<meta name=\"description\" content=\"FINRA has barred a former Raymond James Advisor after it was found that she was guilty of committing elder finanical fraud.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, 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