Finra bars no-show former Cetera rep

Nina Jessee was being investigated for complaints about alternative investments and outside business activity

Jun 12, 2019 @ 1:33 pm

By InvestmentNews

The Financial Industry Regulatory Authority Inc. has barred Nina Jessee, who resigned from Cetera Advisors amid allegations of unauthorized outside business activity, for not cooperating with its investigation of her activities.

Ms. Jessee, who had 24 disclosures on her BrokerCheck record over a 31-year career, worked for Cetera a little over a year before leaving in November 2017, according to BrokerCheck. She had spent 23 years working for Investors Capital Corp.

(More:Finra bars former Aegis broker for churning)

According to a Finra letter of acceptance, waiver and consent, the regulator was investigating customer complaints related to alternative investments and allegations that Ms. Jessee failed to disclose an outside business activity.

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