{"id":7581,"date":"2019-01-17T15:23:29","date_gmt":"2019-01-17T20:23:29","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=7581"},"modified":"2019-01-18T12:19:23","modified_gmt":"2019-01-18T17:19:23","slug":"finra-bars-broker-jackie-wadsworth","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-jackie-wadsworth\/","title":{"rendered":"FINRA Bars Broker Jackie Wadsworth"},"content":{"rendered":"

Jackie Divono Wadsworth (CRD #2342163<\/a>) is a former registered broker and currently registered investment advisor whose last employer was IMS SECURITIES, INC. (CRD #35567) of Houston, TX. She worked for IMS since 1994, and the firm was expelled by FINRA on 9\/04\/2018. Previously, she worked for Retirement Investment Group (CRD #7421), also of Houston. She has been in the industry since 1993.<\/p>\n

\"NationalIn 2017, Wadsworth was involved in a customer dispute involving multiple claimants<\/a> while at IMS Securities. In it, the claimants alleged that \u201ca non-party under the supervision of Respondents induced Claimants to invest in unsuitable, high-risk, illiquid investments, including United Mortgage Trust (“UMT”), United Development Funding II (“UDF II”), and United Development Funding III (“UDF III”).\u201d <\/em>\u00a0These allegations also included \u201caiding and abetting fraud, aiding and abetting breach of fiduciary duty, civil conspiracy, civil RICO, civil RICO conspiracy, and negligent supervision.\u201d <\/em>Filed on 6\/7\/2017, the arbitration was completed on 11\/8\/2018, awarding a total of $963,836.00 to the claimants.<\/p>\n

Following this award, Wadsworth failed to respond to an information request from FINRA, causing a suspension on 8\/3\/2018. She did not request her suspension to be terminated, and is now barred from any association in any capacity with any FINRA member.<\/p>\n

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

Jackie Divono Wadsworth (CRD #2342163) is a former registered broker and currently registered investment advisor whose last employer was IMS SECURITIES, INC. (CRD #35567) of Houston, TX. She worked for IMS since 1994, and the firm was expelled by FINRA on 9\/04\/2018. Previously, she worked for Retirement Investment Group (CRD #7421), also of Houston. She […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[725,579,607,595,591,796,580,576],"tags":[1359,128,1420,1421,268],"class_list":["post-7581","post","type-post","status-publish","format-standard","hentry","category-breach-of-fiduciary-duty","category-broker-permanently-barred","category-failure-to-supervise","category-investment-fraud","category-misappropriation","category-negligence","category-stockbroker-misconduct","category-unsuitable-investment-advice","tag-finra-arbitration-lawyer","tag-ims-securities","tag-jackie-wadsworth","tag-jackie-wadsworth-ims-securities","tag-united-development-funding-iv"],"yoast_head":"\nFINRA Bars Broker Jackie Wadsworth — Securities Arbitration Lawyers Blog — January 17, 2019<\/title>\n<meta name=\"description\" content=\"Jackie Divono Wadsworth (CRD #2342163) is a former registered broker and currently registered investment advisor whose last employer was IMS SECURITIES, — January 17, 2019\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-jackie-wadsworth\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Bars Broker Jackie Wadsworth — Securities Arbitration Lawyers Blog — January 17, 2019\" \/>\n<meta name=\"twitter:description\" content=\"Jackie Divono Wadsworth (CRD #2342163) is a former registered broker and currently registered investment advisor whose last employer was IMS SECURITIES, — January 17, 2019\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2018\/09\/National-Securities-Corporation-Frequent-Customer-Disputes-with-FINRA.jpg\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"2 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"FINRA Bars Broker Jackie Wadsworth — Securities Arbitration Lawyers Blog — January 17, 2019","description":"Jackie Divono Wadsworth (CRD #2342163) is a former registered broker and currently registered investment advisor whose last employer was IMS SECURITIES, — January 17, 2019","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-jackie-wadsworth\/","twitter_card":"summary_large_image","twitter_title":"FINRA Bars Broker Jackie Wadsworth — Securities Arbitration Lawyers Blog — January 17, 2019","twitter_description":"Jackie Divono Wadsworth (CRD #2342163) is a former registered broker and currently registered investment advisor whose last employer was IMS SECURITIES, — January 17, 2019","twitter_image":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2018\/09\/National-Securities-Corporation-Frequent-Customer-Disputes-with-FINRA.jpg","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"2 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-jackie-wadsworth\/#article","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-jackie-wadsworth\/"},"author":{"name":"Silver Law Group","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"headline":"FINRA Bars Broker Jackie Wadsworth","datePublished":"2019-01-17T20:23:29+00:00","dateModified":"2019-01-18T17:19:23+00:00","mainEntityOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-jackie-wadsworth\/"},"wordCount":329,"image":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-jackie-wadsworth\/#primaryimage"},"thumbnailUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2018\/09\/National-Securities-Corporation-Frequent-Customer-Disputes-with-FINRA-300x188.jpg","keywords":["finra arbitration lawyer","IMS Securities","Jackie Wadsworth","Jackie Wadsworth IMS SECURITIES","United Development Funding IV"],"articleSection":["Breach of Fiduciary Duty","Broker Permanently Barred","Failure to Supervise","Investment Fraud","Misappropriation","Negligence","Stockbroker Misconduct","Unsuitable Investment Advice"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-jackie-wadsworth\/","url":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-jackie-wadsworth\/","name":"FINRA Bars Broker Jackie Wadsworth — Securities Arbitration Lawyers Blog — January 17, 2019","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"primaryImageOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-jackie-wadsworth\/#primaryimage"},"image":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-jackie-wadsworth\/#primaryimage"},"thumbnailUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2018\/09\/National-Securities-Corporation-Frequent-Customer-Disputes-with-FINRA-300x188.jpg","datePublished":"2019-01-17T20:23:29+00:00","dateModified":"2019-01-18T17:19:23+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"Jackie Divono Wadsworth (CRD #2342163) is a former registered broker and currently registered investment advisor whose last employer was IMS SECURITIES, — January 17, 2019","breadcrumb":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-jackie-wadsworth\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-jackie-wadsworth\/"]}]},{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-jackie-wadsworth\/#primaryimage","url":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2018\/09\/National-Securities-Corporation-Frequent-Customer-Disputes-with-FINRA.jpg","contentUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2018\/09\/National-Securities-Corporation-Frequent-Customer-Disputes-with-FINRA.jpg","width":947,"height":593,"caption":"National Securities Corporation: Frequent Customer Disputes with FINRA on silverlaw.com"},{"@type":"BreadcrumbList","@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-jackie-wadsworth\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.silverlaw.com\/blog\/"},{"@type":"ListItem","position":2,"name":"FINRA Bars Broker Jackie Wadsworth"}]},{"@type":"WebSite","@id":"https:\/\/www.silverlaw.com\/blog\/#website","url":"https:\/\/www.silverlaw.com\/blog\/","name":"Securities Arbitration Lawyers Blog","description":"Published by Securities Arbitration Lawyers \u2014 Silver Law Group","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.silverlaw.com\/blog\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"},{"@type":"Person","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752","name":"Silver Law Group","image":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","url":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","contentUrl":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","caption":"Silver Law Group"}}]}},"jetpack_featured_media_url":"","_links":{"self":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/7581","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/comments?post=7581"}],"version-history":[{"count":5,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/7581\/revisions"}],"predecessor-version":[{"id":7586,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/7581\/revisions\/7586"}],"wp:attachment":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/media?parent=7581"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/categories?post=7581"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/tags?post=7581"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}