DID BROKER BRIANNA BATTISTA CAUSE YOU INVESTMENT LOSSES?
Brianna Battista Formerly With Vanguard Marketing Corporation was fired on September 16, 2024, following an investigation into alleged violations of company policies
Who is Brianna Battista formerly with Vanguard Marketing Corporation?
Brianna Battista (CRD #7593868) who was formerly registered as a broker with Vanguard Marketing Corporation and located in Malvern, Pennsylvania, is a subject of one of our many securities industry sales practice abuse investigations.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Brianna Battista Employment History and Termination
Brianna Battista was most recently registered with Vanguard Marketing Corporation from October 2022 until her termination in September 2024. Battista’s experience includes her time at Vanguard and additional positions in non-investment-related roles prior to joining the financial services industry.
She has passed two general industry/product exams, including the Series 7 General Securities Representative Exam and the Securities Industry Essentials (SIE) Exam, and one multi-state securities law exam (Series 63).
Battista’s employment with Vanguard Marketing Corporation ended in September 2024 after an investigation into alleged violations of company policies. This termination was attributed to allegations of violating company policies, including an unreported personal relationship with her manager, attempting to delete Microsoft Teams chats, and vaping in the workplace. This information, obtained from publicly available resources, underscores the importance of transparency in maintaining professional conduct within financial services.
Disclosure Summary
- Employment Termination
- Date: September 16, 2024
- Employer: Vanguard Marketing Corporation
- Allegations: Terminated following an investigation into alleged violations of the firm’s professional conduct policies, including failure to disclose a close relationship with her manager, attempting to delete chat messages, and vaping at work.
- Product Type: No specific product involved.
Brianna Battista Red Flags & Your Rights As An Investor
Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Brianna Battista is a red flag which should put all current and former customers of Brianna Battista at Vanguard Marketing Corporation on alert to review carefully the activity and performance of their accounts and question whether Brianna Battista engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Vanguard Marketing Corporation also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Vanguard Marketing Corporation Due To Brianna Battista
If you have questions about Vanguard Marketing Corporation and/or Brianna Battista and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
Rate this Post
Loading...