BILL CONN – Investment Adviser Terminated & Suspended– May Recover Investor Losses
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC investment adviser, BILL CONN – Terminated & Suspended.
BILL CONN
CRD#: 1477107
WILLIAM JOSEPH CONN (CRD#: 1477107), a former registered representative for INTERNATIONAL ASSETS ADVISORY, LLC in SAN FRANCISCO, CA, was recently suspended for three-months after the broker consented to FINRA sanctions.
According to Conn’s FINRA BrokerCheck report, Between January 2020 and March 2021, Conn exercised discretion without prior written authorization in connection with 465 transactions in 12 accounts held by five customers. As a result, Conn violated FINRA Rules 3260(b) and 20 I 0. In addition, from August 2019 through March 2020, Conn provided $120,000 in monetary gifts to one of those customers in circumvention of firm policy. As a result, Conn violated FJNRA Rule 2010. For these violations, Conn is suspended for three-months in all capacities and fined $15,000.
RAYMOND JAMES & ASSOCIATES, INC. terminated Conn’s employment on July 7, 2022
Conn’s former broker dealer alleged that Conn failed to follow firm policies with respect to exercise of discretion, and with respect to payments to a client, and for a potential unreported OBA.
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC investment adviser, BILL CONN – Terminated & Suspended.
Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to their clients.
St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors. The firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.
Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $400 million dollars on behalf of victimized investors.
We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.
There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.
If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.
Some of the information in this blog post was obtained from FINRA on 4/7/25. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.