Former Wells Fargo Advisors Financial Network, LLC broker Cathie Joughin (CRD# 1044884), who is accused of elder abuse. She was registered with Ameriprise Financial Services, LLC in Bakersfield, California, from 2019 to 2022, when she was terminated regarding, “Registered representative resigned while under review for compliance policy violations related to a fiduciary relationship.”
Previously, she was registered with Wells Fargo Advisors Financial Network, LLC in Bakersfield, California, from 2018 to 2019.
In November 2022, FINRA barred her after he consented to the sanction and to the entry of findings that she “refused to provide information and documents requested by FINRA in connection with its investigation of a Form U5 filed by her member firm that stated that she had resigned while under review for compliance policy violations related to a fiduciary relationship.”
Cathie Joughin Customer Complaints
She has been the subject of one customer complaint, according to her CRD report:
March 2023. “Claimant alleges that on or about late 2019 and early 2020, his father fell victim to elder abuse and misappropriation by his Financial Advisor (FA).” The case is currently pending. The complaint took place while she was registered with Wells Fargo Advisors Financial Network, LLC.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Wells Fargo Advisors Financial Network, LLC may be liable for investment or other losses suffered by Cathie Joughin’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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