{"id":11050,"date":"2023-06-01T11:17:18","date_gmt":"2023-06-01T15:17:18","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11050"},"modified":"2023-06-01T11:17:18","modified_gmt":"2023-06-01T15:17:18","slug":"broker-cathie-joughin-barred-after-refusing-finras-info-request","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/broker-cathie-joughin-barred-after-refusing-finras-info-request\/","title":{"rendered":"Broker Cathie Joughin Barred After Refusing FINRA\u2019s Info Request"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-11051 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2023\/06\/Cathie-Joughin.png\" alt=\"Cathie Joughin (Cathie Ann Joughin CRD# 1044884, a\/k\/a \u201cCathie Joughin Barnard,\u201d \u201cCathie Ann Goughin,\u201d \u201cCathie Joughin\u201d) is a previously registered broker and investment advisor whose last employer was Ameriprise Financial Services, LLC (CRD# 6363) of Bakersfield, CA. Her previous employers include Wells Fargo Advisors Financial Network, LLC (CRD#:11025) and Wedbush Securities Inc. (CRD# 877), also of Bakersfield, and Triquest Financial, Inc. (CRD# 6596) of Glendale, CA. She is not currently registered with any FINRA member firm, has been in the industry since 1982.  Ameriprise Termination And FINRA Investigation  On 12\/17\/2021, Joughin voluntarily resigned from her employment at Ameriprise \u201cwhile under review for compliance policy violations related to a fiduciary relationship.\u201d No additional details are available. In January of 2022, Ameriprise filed a Uniform Termination Notice for Securities Industry Registration (Form U5) with FINRA listing the investigation as the reason for her departure.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2023\/06\/Cathie-Joughin.png 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2023\/06\/Cathie-Joughin-180x120.png 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Cathie Joughin (Cathie Ann Joughin CRD# <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/1044884\" target=\"_blank\">1044884<\/a>, a\/k\/a \u201cCathie Joughin Barnard,\u201d \u201cCathie Ann Goughin,\u201d \u201cCathie Joughin\u201d) is a previously registered broker and investment advisor whose last employer was Ameriprise Financial Services, LLC (CRD# 6363) of Bakersfield, CA. Her previous employers include Wells Fargo Advisors Financial Network, LLC (CRD#:11025) and Wedbush Securities Inc. (CRD# 877), also of Bakersfield, and Triquest Financial, Inc. (CRD# 6596) of Glendale, CA. She is not currently registered with any FINRA member firm, has been in the industry since 1982. <a href=\"https:\/\/www.silverlaw.com\/blog\/broker-cathie-joughin-barred-after-refusing-finras-info-request\/#more-11050\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Cathie Joughin (Cathie Ann Joughin CRD# 1044884, a\/k\/a \u201cCathie Joughin Barnard,\u201d \u201cCathie Ann Goughin,\u201d \u201cCathie Joughin\u201d) is a previously registered broker and investment advisor whose last employer was Ameriprise Financial Services, LLC (CRD# 6363) of Bakersfield, CA. Her previous employers include Wells Fargo Advisors Financial Network, LLC (CRD#:11025) and Wedbush Securities Inc. (CRD# 877), also [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577,580],"tags":[],"class_list":["post-11050","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Broker Cathie Joughin Barred After Refusing FINRA\u2019s Info Request<\/title>\n<meta name=\"description\" content=\"Cathie Joughin is a previously registered broker and investment advisor who last worked for Ameriprise Financial Services of Bakersfield, CA.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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