Jan Ernest Helen, of Denver, Colorado, submitted an AWC in which he was barred from association with any FINRA member in any capacity. Helen was registered with Janco Partners, Inc. from 1996 through September 2014. Without admitting or denying the findings, Helen consented to the sanction and to the entry of findings that he failed and refused to appear for FINRA on-the-record testimony in connection with an investigation into his possible conversion or misuse of investor funds. The findings stated that Helen, through counsel, informed FINRA that he would not appear for testimony on the scheduled date or at a future date. (FINRA Case #2014042231401)
In 2012, FINRA sanctioned Helen for misconduct relating to a private placement offering and Janco’s failure to have a reasonable supervisory system for the sale of private placements. Helen now faces even more serious allegations involving possible theft of customer funds.
Silver Law Group represents investors in securities and investment fraud cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct. If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.