{"id":9602,"date":"2020-12-29T12:44:13","date_gmt":"2020-12-29T17:44:13","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=9602"},"modified":"2020-12-29T12:44:13","modified_gmt":"2020-12-29T17:44:13","slug":"finra-bans-cynthia-cowden-after-allegations-of-elder-financial-abuse","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bans-cynthia-cowden-after-allegations-of-elder-financial-abuse\/","title":{"rendered":"FINRA Bans Cynthia Cowden After Allegations Of Elder Financial Abuse"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-9603 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2020\/12\/Cynthia-Cowden.jpg\" alt=\"Cynthia Cowden (Cynthia Diane Cowden CRD#: 2054676) is a former registered broker and investment advisor whose last known employer was NPB Financial Group, LLC (CRD#:137743) of Lake Isabella, CA. Her previous employers include Tricor Financial, LLC (CRD#:142518) and Next Financial Group, Inc. (CRD#:46214), also of Lake Isabella, and Advantage Capital Corporation (CRD#:146) of Atlanta, GA. She has been in the industry since 1990. A client dispute filed on 1\/29\/2020 alleged that Cowden committed: \u00a0Negligence, suitability, negligent misrepresentation and omission; intentional misrepresentation and omission; fraud; violation of California securities laws. Control person liability; breach of fiduciary duty; failure to supervise; unsuitability; over concentration, breach of FINRA rules; breach of contract; loss of investment opportunity; and financial elder abuse. The client requested damages of $80,589.00, and the firm settled the claim for $57,000. FINRA responded to complaints from their Senior Helpline from a married couple and a single investor regarding the unsuitable recommendations they received from Cowden. From August 2016 through December 2017, Cowden recommended very high-risk investments to them. All three lived in California, and were inexperienced investors.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2020\/12\/Cynthia-Cowden.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2020\/12\/Cynthia-Cowden-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Cynthia Cowden (Cynthia Diane Cowden CRD#: <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/2054676\" target=\"_blank\">2054676<\/a>) is a former registered broker and investment advisor whose last known employer was NPB Financial Group, LLC (CRD#:137743) of Lake Isabella, CA. Her previous employers include Tricor Financial, LLC (CRD#:142518) and Next Financial Group, Inc. (CRD#:46214), also of Lake Isabella, and Advantage Capital Corporation (CRD#:146) of Atlanta, GA. She has been in the industry since 1990. <a href=\"https:\/\/www.silverlaw.com\/blog\/finra-bans-cynthia-cowden-after-allegations-of-elder-financial-abuse\/#more-9602\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Cynthia Cowden (Cynthia Diane Cowden CRD#: 2054676) is a former registered broker and investment advisor whose last known employer was NPB Financial Group, LLC (CRD#:137743) of Lake Isabella, CA. Her previous employers include Tricor Financial, LLC (CRD#:142518) and Next Financial Group, Inc. (CRD#:46214), also of Lake Isabella, and Advantage Capital Corporation (CRD#:146) of Atlanta, GA. [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[582,580],"tags":[],"class_list":["post-9602","post","type-post","status-publish","format-standard","hentry","category-elder-fraud","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>FINRA Bans Cynthia Cowden After Allegations Of Elder Financial Abuse &#8212;<\/title>\n<meta name=\"description\" content=\"Cynthia Cowden is a former registered broker and investment advisor who last worked for NPB Financial Group, LLC of Lake Isabella, 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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